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.
Industry Officials Forecast DOL Fiduciary Rule's Future
By Melanie WaddellLabor Secretary Alexander Acosta spills the fiduciary beans to Congress; the OCC plans its own fiduciary updates; and NAIFA-NY sues over fiduciary reg.
May 23, 2019
DOL Fiduciary Rule Release Set for DecemberAn earlier release is possible given the SEC's expected timeline on Regulation Best Interest.
May 22, 2019
Reminder: CAT Registration Deadline Is ComingThe deadline to register for reporting to the Consolidated Audit Trail is June 27.
May 22, 2019
SEC Urges Advisors to Look Beyond AMLMoney laundering isn't the only suspicious activity advisors need to watch out for, exam chief Pete Driscoll says.
May 22, 2019
'Don't Hold Your Breath' Waiting on a Bitcoin ETF: SEC's PeirceThe SEC commissioner who would like to see approval for a Bitcoin ETF says the agency still has many questions.
May 21, 2019
SEC Halts Diamond-Related Crypto SchemeThe Ponzi scheme targeted more than 300 investors in the U.S. and Canada.
May 21, 2019
Draft Regs Could Affect Non-U.S. Banks With Small U.S. Insurance OperationsThe rules might exclude entities with large U.S. insurance underwriting operations.
May 20, 2019
IRS Audits on Wealthiest Americans PlummetAudit rates plunged 54% for those with AGIs of $10 million or more and 46% for those earning between $5 million and just under $10 million.