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 Slaps UBS With $2M Fine for Repeat Muni Violations
By Melanie WaddellUBS failed to timely address municipal short positions and inaccurately represented the tax status of thousands of interest payments to customers.
September 26, 2019
Senate Confirms Scalia as New Labor SecretaryThe Senate voted 53-44 on Thursday afternoon.
September 24, 2019
Have Fiduciary Standards Been 'Watered Down'? SEC's Clayton, Jackson Go Toe to ToeThe SEC chairman and the Democratic commissioner testified to Congress about the new advice-standards rules.
September 24, 2019
SEC's Regulation Best Interest Comes Under AttackIndustry officials and attorneys weigh in on the two separate lawsuits filed against the rule.
September 24, 2019
IRS Weighs In on RMDs, FeesTax experts discuss rulings on uncashed distribution checks, advisors' annuity fees.
September 24, 2019
Scalia Is Still in the DOL Fiduciary Rule GameA Senate panel voted Tuesday to advance his nomination to the full Senate.
September 23, 2019
FINRA Answers Questions on BDs' Electronic CommunicationsFor example: What should brokers know about disclosures in marketing materials?
September 20, 2019
Treasury Loosens Rules on 401(k) Hardship WithdrawalsThe new rules on withdrawals of elective distributions also apply to 403(b) plans.