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.
SEC, FINRA Take Coronavirus Measures
By Melanie WaddellThe Securities and Exchange Commission and the Financial Industry Regulatory Authority announced several measures in mid-March in reaction to the coronavirus.
March 26, 2020
Some Americans Could Hit Snags Getting Stimulus Cash, Planner SaysJeff Levine of Kitces.com and Buckingham Wealth breaks down the details of how direct payments and RMD waivers work in the stimulus bill.
March 26, 2020
FINRA Fines Morgan Stanley $300K for Reporting ViolationsThe firm failed to report more than 1,000 fixed income transactions to TRACE, the regulator says.
March 25, 2020
Envestnet, CSS Launch Reg BI Tool for RIAs and BDsThe software pulls data from a firm's SEC and FINRA filings to complete Form CRS.
March 24, 2020
Final Judgment Entered Against NFL Player for Insider TradingSEC had charged linebacker Mychal Kendricks with trading on illegal tips.
March 24, 2020
SEC Provides Temporary Flexibility to Funds Hurt by Coronavirus CrisisThe relief is intended to provide funds with added tools to manage portfolios, the regulator says.
March 24, 2020
IRS Releases FAQ on Tax Deadline ExtensionsIn particular, the deadline for 2019 IRA contributions has also been extended.
March 24, 2020
Ex-Rep Wins FINRA Arb Case Against Morgan StanleyBut the award was much lower than what the broker had sought.