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.
Retirees Beware: IRS Pension Buyout Stance Shifts (Again)
By Robert Bloink | William H. ByrnesThe recent IRS change of course on this issue may add complications into the mix for retired clients who are already in pay status.
May 16, 2019
FINRA Bad Broker Rule Would Hit Less Than 2% of FirmsThe new rule proposal identifies firms "that have a cluster of brokers with a high level of misconduct," FINRA's Cook said.
May 15, 2019
FINRA Pushing Ahead on CAT, Rule Review: CEO CookAt FINRA's annual conference, execs discussed which rules are being reviewed and gave an update on exam consolidation.
May 15, 2019
SEC Delays Decision on Bitwise Bitcoin ETF AgainThe SEC is again seeking comment on the proposal, this time in answers to 14 questions.
May 14, 2019
FINRA Aims to Simplify Its Digital Interactions With FirmsThe transformation is to be implemented in stages through 2022 and is focused on six areas.
May 10, 2019
SEC Settles 'Unfriendly' Insider Trading Case: EnforcementAlso, Secretary Galvin charges broker-dealer over improper mutual fund sales.
May 09, 2019
FINRA Reminds BDs of Their Anti-Money Laundering DutiesIn Regulatory Notice 19-18, FINRA provides examples of money laundering red flags.
May 08, 2019
FINRA's Cook: SEC Reg BI Compliance to Be a Heavy LiftImplementing Reg BI and potential FINRA rulebook changes are top of mind; NASAA president weighs in on state fiduciary rules.