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 to Continue Private Funds Focus in 2020
By Melanie WaddellThe Retail Strategy Task Force has been "very effective," says SEC's Adam Aderton.
October 18, 2019
ACA Employer Coverage Reporting SurvivesThe IRS still has the authority to impose fines on nonfilers.
October 18, 2019
SEC's 'Solely Incidental' Broker-Dealer Exclusion: A BreakdownAn attorney looks at the interpretation of this exclusion that was approved as part of the SEC's advice-standards package.
October 17, 2019
House Passes Bill Requiring SEC to Test Investor DisclosuresSEC Disclosure Effectiveness Testing Act also requires the agency to review and test its existing disclosures for retail investors.
October 15, 2019
SEC Failing in RIA Enforcement Duties: IG ReportThe Inspector General's recently released report highlights management and performances challenges the agency faces in fiscal 2020.
October 15, 2019
Foreside Financial Acquires Compliance Advisory ServicesThe acquisition is the firm's second since Lovell Minnick acquired a majority interest in February 2017.
October 14, 2019
House Bill Would Require SEC Investor Testing Before Issuing RulesThe SEC Disclosure Effectiveness Testing Act would require the SEC to conduct a survey and interviews of retail investors.
October 14, 2019
New IRS Form 1040 to Ask Taxpayers About CryptocurrencyA draft version of the 2019 tax form begins with a question on virtual currencies.