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.
8 Attorneys General Sue SEC Over Reg BI
By Melanie WaddellThe first lawsuit against Reg BI argues that it fails to institute a uniform fiduciary standard and goes against Dodd-Frank.
September 06, 2019
IRS Offers Relief to Ex-Citizens Who Owe TaxesThe relief is only extended to some expatriated individuals, not estates, trusts or corporations.
September 06, 2019
'Regulation by Enforcement' Battle Reaches Full TiltFSI is fighting the SEC's Share Class Selection Disclosure Initiative; others are more supportive.
September 06, 2019
Should SEC Resurrect Broad Punishments for Companies That Talk to Analysts?An August SEC Reg FD action could signal a resurgence of cases under the controversial rule and a re-examination of its constitutionality.
September 06, 2019
SEC Shuts Down $300M California Alcohol License Loan SchemeThe San Diego-based firm and its principal defrauded 50 retail investors, the SEC says.
September 06, 2019
FINRA Suitability Rule Likely a 'Non-Factor' Due to Reg BI: AttorneyFINRA can likely bring suitability cases under Reg BI instead, writes Bates Group's Hank Sanchez in a just-released paper.
September 05, 2019
IRS Gives Health Insurers Their 2020 ACA Section 9010 Tax BillCongress suspended the fee for 2019, and it could still suspend the fee for 2020.
September 04, 2019
Former SEC Commissioner Gallagher Rejoins WilmerHaleDan Gallagher and SEC Chairman Jay Clayton's former chief of staff Lucas Moskowitz are joining the securities group.