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 Releases New Round of Regs for Opportunity Zone Funds
By Bernice NapachThe latest regs are the most substantive to date and are expected to be the catalyst that unleashes investments in these funds.
April 17, 2019
SEC Fires Off Warning on Privacy RegulationOCIE sets out violations of Reg S-P that have shown up in recent exams.
April 16, 2019
Will Trump Memo Slow Down SEC's Reg BI?A memo from the OMB states that major rules, like the SEC's best-interest rules, must be reviewed by Congress.
April 16, 2019
IRS' 6-Year Modernization Plan to Cost Up to $2.7 BillionIRS Commissioner Rettig also told senators that taxpayer identity theft fell 71% between 2015 and 2018.
April 15, 2019
FINRA Bond Sale Reporting Change Might Help Life InsurersInvestment mangers at Voya and Allianz' Pimco unit are some of the experts looking at the proposal.
April 15, 2019
FINRA Clarifies How BDs Should Handle Departing Rep InformationBut the notice is vague on whether BDs must tell clients a rep was fired, a lawyers' group says.
April 12, 2019
Woodbridge Execs Arrested in $1.2B Ponzi SchemeMany of the 8,400 investors were seniors; the firm's holdings included homes of celebrities.
April 12, 2019
Ex-Radio Host Craig Carton Sentenced to Prison in 'Hamilton' Ticket Scheme: EnforcementMeanwhile, a lawyer for SeaWorld was charged with insider trading.