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.
ACA Employer Coverage Reporting Survives
By Allison BellThe IRS still has the authority to impose fines on nonfilers.
October 15, 2019
SEC Failing in RIA Enforcement Duties: IG ReportThe Inspector General's recently released report highlights management and performances challenges the agency faces in fiscal 2020.
October 15, 2019
Foreside Financial Acquires Compliance Advisory ServicesThe acquisition is the firm's second since Lovell Minnick acquired a majority interest in February 2017.
October 14, 2019
House Bill Would Require SEC Investor Testing Before Issuing RulesThe SEC Disclosure Effectiveness Testing Act would require the SEC to conduct a survey and interviews of retail investors.
October 14, 2019
New IRS Form 1040 to Ask Taxpayers About CryptocurrencyA draft version of the 2019 tax form begins with a question on virtual currencies.
October 11, 2019
States' Lawsuit Against SEC Reg BI Dismissed by Lower CourtThe court wants the matter to be taken up by the appeals court with original jurisdiction over SEC rules.
October 10, 2019
SEC Rejects Bitwise Bitcoin ETFThe head of research at Bitwise says the firm will continue discussions with the SEC and re-file as soon as it's appropriate.
October 09, 2019
SEC Launches Asset Management Advisory CommitteeThe committee "will help the Commission ensure that our regulatory approach to asset management meets the needs of retail investors and market participants," said SEC chief Clayton.