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.
FINRA Developing 'Credit for Cooperation' Guidance; SEC Aims to 'Bring Cases Faster'
By Melanie WaddellAt what point do broker-dealers who cooperate with FINRA deserve a reduced sanction? The regulator plans to clarify.
March 22, 2019
Sen. Warren Presses FINRA on Broker Expungement Rule RevampStudies show broker expungements "are often associated with broker misconduct" and recidivism, Warren says.
March 22, 2019
IRS Posts Eagerly Awaited Life Settlement Tax Reporting DraftOne question is about how to handle broker comp expenses.
March 22, 2019
SEC Charges Fraudsters-Turned-Pastors in Ponzi Scheme: EnforcementIn another action, the SEC charged a former CPA and unregistered advisor with running a decades-long scam.
March 21, 2019
IRS' Top 12 Tax Scams to Avoid: 2019Technology helps the IRS catch offenders, but taxpayers still need to be wary.
March 21, 2019
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement ChiefFINRA says it could draw on its reserves to make up for a projected revenue shortfall.
March 20, 2019
New Law Firm 'Steeped' in SEC, FINRA Cases May Take on College Scam ClientsWhite-collar defense attorney Marc Mukasey announced the official launch of a boutique law firm, Mukasey Frenchman & Sklaroff LLP
March 19, 2019
House Panel to Debate Bill to Require Investor Testing by SECThe bill would require usability testing on the SEC's new disclosure forms before Reg BI is finalized.