Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
FINRA Postpones In-Person Arbitration Hearings
By Melanie WaddellFINRA is also waiving postponement fees on hearings through Sept. 4.
April 15, 2020
IRS' New 'Get My Payment' Tool Frustrates UsersThe new tool was designed to let Americans check on the status of their Economic Impact Payments.
April 15, 2020
Morgan Stanley Wins Nearly $2M in FINRA Arb DisputeThe firm had sought $1.5 million it said an ex-advisor owed from promissory notes, plus fees.
April 14, 2020
SEC Reg BI Seeks to 'Carve Up' Market for Investment Advice, XYPN SaysIt's "just the latest in a series of attempts by the SEC to exceed or misapply its regulatory authority," XYPN said.
April 14, 2020
FINRA Bars Ex-Morgan Stanley Rep for Not Cooperating With InquiryThe broker was fired by the wirehouse as it reviewed a mortgage deed execution she was involved in.
April 14, 2020
SEC Reaches Settlements in EDGAR Hacking CaseThe settlements were with David Kwon and Igor Sabodakha, accused of trading on hacked earnings reports.
April 13, 2020
FINRA Clarifies Disclosure Rules for PPP LoansIt also has shared details on the net capital treatment of covered loans tied to the stimulus' Payroll Protection Program.
April 13, 2020
Shareholders Should Be Heard, Not MuzzledThe SEC is moving toward tamping down small shareholder proxy input. Many are fighting back. Here's why.