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 Commissioner: Time to Reassess BD Best Execution Obligations
By Jeff BermanThe commission should "consider whether minor adjustments or more significant changes are appropriate" for the Order Protection Rule, he said at a SIFMA event.
September 18, 2019
IRS Issues Final Rules on 100% Business Depreciation DeductionThe rule is a "big deal," says former tax attorney Andy Friedman.
September 17, 2019
IRS Offers Relief for Micro-Captive Insurance TransactionsMicro-captive schemes have been consistently listed on the agency's "Dirty Dozen" list of tax scams.
September 17, 2019
Raymond James to Pay $15M to SEC for Improper ChargesThree units improperly charged advisory fees on inactive client accounts and charged excess commissions for UITs, the SEC said.
September 16, 2019
IRS Offers Some Micro Captive Users 'Limited Settlement Offers'Taxpayers who have not received the letters 'are not eligible for this resolution,' officials say.
September 16, 2019
FINRA Slaps J.P. Morgan Securities for Lapse in Disclosing Reps' MisconductJ.P. Morgan's failures prevented FINRA from pursuing enforcement actions.
September 16, 2019
Ex-SEC Exam Chief di Florio Joins ACA Compliance GroupThe former SEC and FINRA official has become ACA's global chief services officer.
September 13, 2019
Reconciling Rollover Advice With Reg BI and DOL Fiduciary StandardAdvisors who provide rollover advice must exercise caution to ensure compliance with both regimes.