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.
Trump Signs IRS Redesign Bill Into Law
By Melanie WaddellThe law requires the IRS to submit to Congress in 2020 a plan to redesign the agency.
July 02, 2019
FINRA Hits Summit With $880K Fine Over Excess TradingOne advisor placed close to 535 trades for a retired client, who paid more than $171,000 in commissions over three years.
June 28, 2019
Here's What 10 FINRA Execs Earned in 2018Top FINRA execs continue to earn $1 million or more.
June 28, 2019
FINRA Study Finds Widening Gaps in Financial CapabilityThe overall level of financial capability has plateaued after six years of increases, the report found.
June 28, 2019
FINRA Posts a Net Loss for the YearThe total amount of fines decreased by $3.9 million in 2018 to $61 million.
June 28, 2019
Road to an SEC Exam Is Paved With Good IntentionsThe SEC message is not subtle: "We're coming for you." And when they come, you might not be as ready as you think you are.
June 27, 2019
SEC Reg BI Involves 'Massive Implementation' Process: PeirceSEC Commissioner Peirce urged broker-dealer execs Thursday to alert the agency quickly to any Reg BI compliance hurdles.
June 27, 2019
SEC Busts $43M Tribal Bonds SchemeThe scheme looted pension funds and a Native American tribal corporation, the SEC said.