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.
SEC Charges 2 Nevada Felons in Sports Betting Scam
By Jeff BermanThe two men and several accomplices bilked more than 600 investors out of $29.5 million, the SEC said.
September 01, 2019
What Life Insurers Are Telling the SEC About the 2017 CSO ShiftOne warning: The tax consequences of extending policy maturity dates past age 121 are unclear.
August 29, 2019
Ed Slott: IRS Ruling Could Alter RMD TimingA ruling on uncashed distribution checks may require advisors to be more careful with RMDs.
August 27, 2019
Reg BI, Form CRS Status Check: Is Your Compliance Where It Should Be?Industry attorneys along with FINRA are weighing in with advice and steps on getting up to speed with the SEC advice-standards package.
August 27, 2019
How the BDs of the Year Are Prepping for Reg BI"It's been a long haul. I don't know how much more best interest we can get into our procedures," said The Investment Center's Ralph DeVito.
August 27, 2019
Fiduciary Rule Questions Linger as Trump Picks Scalia to Head LaborIndustry attorneys weigh in on the likelihood of a DOL fiduciary rule being issued this year.
August 21, 2019
SEC's New Proxy Voting Guidance Gets Mixed ReviewsThe guidance clarifies how an investment advisor's fiduciary duty relates to proxy voting on behalf of clients.
August 20, 2019
SEC Loses Its First Cyber Enforcement ChiefRobert A. Cohen is joining Davis Polk & Wardell, where two former SEC enforcement directors are now employed.