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.
IRS Issues Final Rules on 100% Business Depreciation Deduction
By Elizabeth FestaThe rule is a "big deal," says former tax attorney Andy Friedman.
September 16, 2019
IRS Offers Some Micro Captive Users 'Limited Settlement Offers'Taxpayers who have not received the letters 'are not eligible for this resolution,' officials say.
September 16, 2019
FINRA Slaps J.P. Morgan Securities for Lapse in Disclosing Reps' MisconductJ.P. Morgan's failures prevented FINRA from pursuing enforcement actions.
September 16, 2019
Ex-SEC Exam Chief di Florio Joins ACA Compliance GroupThe former SEC and FINRA official has become ACA's global chief services officer.
September 13, 2019
Reconciling Rollover Advice With Reg BI and DOL Fiduciary StandardAdvisors who provide rollover advice must exercise caution to ensure compliance with both regimes.
September 13, 2019
FINRA Points Out Common Mistakes for Firms to AvoidSenior staffers provided tips at the regulator's institutional conference.
September 11, 2019
FINRA Plans Major Rule Review in Wake of Reg BIThe overhaul of FINRA's rulebook will happen in two phases, CEO Robert Cook says.
September 11, 2019
XY Planning Network Sues SEC Over Reg BI"Fiduciary competitiveness is being damaged" under Reg BI, XYPN co-founder Michael Kitces tells ThinkAdvisor.