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' National Taxpayer Advocate Retires
By Bernice NapachNina Olson was the force behind the agency's Taxpayer Bill of Rights.
July 30, 2019
CFP Board Announces Big Enforcement ChangesThe Board will no longer solely rely on self-disclosure by CFP professionals.
July 29, 2019
CFP Board Website Omits Complaints, Reg and Criminal History: ReportReacting to the Wall Street Journal's analysis, the organization says it is "addressing issues" raised in the report but disputes some conclusions.
July 29, 2019
FINRA Fines Citigroup for Inadequate Background ChecksThe firm failed to conduct proper checks on 10,400 non-registered persons and failed to fingerprint 520 of them, FINRA says.
July 26, 2019
SEC's Regulation Best Interest: A BreakdownAn attorney takes a look at what is expected of advisors under the new rule.
July 24, 2019
Industry Groups Push Indie Candidate for FINRA BoardFSI and the Bank Insurance & Securities Association are both supporting ProEquities President and CEO Chris Flint.
July 24, 2019
Madoff Asks Trump to Reduce 150-Year Prison SentenceInvestors lost $20 billion in the Ponzi scheme led by Bernard Madoff, who pleaded guilty a decade ago.
July 24, 2019
RIAs Fail to Vet, Disclose Advisors' Discipline History: SECA new risk alert reveals findings of 50 exams conducted of RIAs employing people with a history of disciplinary events.