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.
Spurned Lawmakers Press IRS Again on Form 1040 Usability Data
By Melanie WaddellRep. Richard Neal wants to know why a usability survey was removed from the IRS website.
March 01, 2019
Ride-Sharing No. 2 Lyft Starts IPO Race With Public FilingFriday's filing gives Lyft a leg up in its race with Uber to go public this year; both ride-sharing companies filed their draft statements with the SEC in December.
March 01, 2019
IRS Whistleblower Program Collects Record $1.4B, Awards $312MThe "IRS program is now working and working remarkably well," a lawyer says.
March 01, 2019
SEC Charges Movie Director, Music Producer With Bilking Investors: EnforcementSEC also announced a settlement in a fraud case against a former Morgan Stanley investment advisor.
March 01, 2019
About That Big Regulatory Rollback ...What the Trump administration has achieved so far is not so much deregulation as regulatory stasis. Which isn't all bad.
February 28, 2019
Top Democrat on Senate Panel Wants Hearing on SEC's Reg BIFormer SEC economists' letter stating Reg BI "had weak and incomplete economic analysis" should be "a red flag," said Sen. Sherrod Brown.
February 28, 2019
SEC Modifies Submission Times for Form N-PORT"We are very pleased that the SEC has taken this important step," said ICI President Stevens.
February 28, 2019
State Securities Regulators Clash With ACLI Over the Fiduciary Rule's Little BrotherACLI says it's pro-consumer. NASAA's president says ACLI's support for the Reg BI proposal is a bad sign.