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 to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates
By Melanie Waddell"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.
February 26, 2019
9 Ideas for Making the SEC's Annuity Summary Prospectus ShineCommenters offer their thoughts on replacing the current word mud with... something else.
February 26, 2019
SEC Advice-Standards Package Likely by Q3; States March AheadWhile the 35-day partial government shutdown "really slowed progress" at the Securities and Exchange Commission
February 26, 2019
Regulators Take Aim at Share Class DisclosureAttorneys and compliance experts see the SEC and FINRA crackdowns as a 'big deal' that foretells the demise of 12b-1 fees.
February 26, 2019
Musk Lays Into SEC With More Tweets After U.S. Contempt Claim"Something is broken with SEC oversight," Musk wrote, in response to a user's tweet sympathizing with this position.
February 25, 2019
Elon Musk Faces U.S. Contempt Claim for Violating SEC AccordThe settlement required him to seek pre-approval for social media posts and other communication that would be material to the company or investors.
February 25, 2019
House Panel Probes IRS on Postcard-Size 1040's UsabilityThe IRS taxpayer advocate says the new form is creating challenges for filers.
February 22, 2019
Borzi: DOL Should Not Defer to SEC's Reg BIIf it's adopted without major changes, the "industry continues its conflicted practices," the DOL fiduciary architect tells ThinkAdvisor.