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.
House Votes to Halt SEC Regulation Best Interest
By Melanie WaddellBut Waters' amendment blocking enforcement of the rule is likely a tough sell in the Senate.
June 21, 2019
GAO Asked to Investigate Impact of DOL Fiduciary RuleLabor's fiduciary rule, which was finalized in 2016 after nearly six years of effort, was vacated by a federal court last year.
June 21, 2019
Senate Confirms Lee as SEC CommissionerAllison Herren Lee, a Democrat, will serve a term expiring June 5, 2022.
June 20, 2019
No, RIAs Aren't Banned From Saying 'Fiduciary' on Form CRSThe SEC clarified after a wording change in the final version of the form raised some questions.
June 18, 2019
SEC Wants to Ease Access to Private Placements"We are taking a critical look at our exemptions from registration," said SEC Chairman Jay Clayton.
June 18, 2019
Wedbush Hit With $8.1M SEC Fine Over Improper Handling of ADRsWedbush improperly obtained pre-released ADRs from depositary banks, the SEC said.
June 17, 2019
KPMG to Pay $50 Million to SEC for Using Stolen Watchdog DataFive former KPMG employees were accused of interfering with PCAOB inspections.
June 14, 2019
IRS Redesign Bill Poised to Arrive on Trump's DeskThe newly passed version of the Taxpayer First Act dropped a provision barring the IRS from creating free tax-prep software.