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 Delivers Blow to Steven Seagal's Crypto Promos
By Melanie WaddellThe regulator fined the actor for failing to disclose that he was paid to promote an ICO.
February 26, 2020
IRS Extends 'Popular' Tax ProvisionsAbove-the-line qualified tuition and related expenses and mortgage insurance premiums are among the provisions.
February 25, 2020
SEC Releases Updated List of Fake Regulators, Deceptive FirmsThe latest list adds four fictitious regulators and 25 soliciting entities making false claims.
February 24, 2020
How Is Trump's Deregulatory Push Going?Trump boasts of surpassing his regulation-cutting goal, but an economist says the numbers shouldn't be taken "at face value."
February 24, 2020
IRS Floats Updated Regs on Business Meals, EntertainmentTax lawyer Andrew Friedman tells ThinkAdvisor what advisors should know about the proposed rules.
February 24, 2020
Reg BI Compliance Race Is OnFirms have 'no choice' but to comply; new Form CRS challenges surface for dual registrants.
February 24, 2020
IRS Readies for Tax TimeGuidance on the Secure Act and new identity theft protection measures unveiled as tax filing season gets underway.
February 21, 2020
Wells Fargo to Pay $3B to DOJ, SEC Over Fake AccountsThe bank was charged with fraud and misleading investors about its cross-selling results from 2002 to 2016.