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.
First Stimulus Checks Sent to Bank Accounts
By Melanie WaddellMeanwhile, senators called for clarity on which workers are eligible for emergency unemployment assistance.
April 10, 2020
New SEC Rule Amendments to Help Closed-End Funds, BDCsThe changes will benefit investors in business development companies and other closed-end funds, the SEC chairman says.
April 10, 2020
IRS Extends 60-Day IRA Rollovers to July 15Many retirees who took RMDs before they were waived by the CARES Act can now roll the money back, says Ed Slott.
April 09, 2020
IRS Extends More Filing Deadlines to July 15The IRS also shares guidance on tax relief under the CARES Act for those with net operating losses.
April 08, 2020
FINRA to Mirror SEC Reg BI, Form CRS Exam ApproachSelf-regulatory group says it will take action if it observes client harm or conduct violating current suitability rules.
April 08, 2020
3 New Coronavirus Tax Benefits for BusinessesFiling extensions, paid sick leave and more are now available for businesses.
April 07, 2020
FINRA Presses Ahead With Bad-Broker CrackdownThe plan would allow a hearing officer to require a BD to adopt heightened supervision for brokers with long disciplinary histories.
April 07, 2020
SEC Releases Exam Schedules for Reg BI, Form CRSHere's what SEC examiners will look for in the year after the June 30 compliance date.