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.
Final SEC Reg BI Plan Likely in 3rd Quarter, Says IAA Executive
By Melanie WaddellNeil Simon, the Investment Adviser Association's top lobbyist, says that despite delays, "it's going to happen."
February 06, 2019
Ric Edelman to Cut Ties With BitwiseEdelman wants to avoid potential conflicts of interest with his clients that could arise in the future.
February 01, 2019
Stock Exchanges Fire CAT Contractor After DelaysFINRA is said to be taking control of the Consolidated Audit Trail project.
February 01, 2019
AI Will Transform Surveillance Programs – EventuallyFINRA is in the early stages of using these technologies for surveillance; most firms haven't started.
February 01, 2019
SEC Charges Advisor With Bilking Investors to Fund Lifestyle: EnforcementThe SEC also charged a real estate developer with an offering fraud that funded his luxury hunting ranch.
January 31, 2019
Court Ruling Extending SEC's Fraud Reach May Push More ICOs OffshoreIf most of the buyers of a security are located outside the U.S., do federal securities laws apply?
January 31, 2019
IRS Faces Backlog as Tax Season Gets UnderwayThe shutdown has compounded difficulties as the IRS scrambles to implement the new tax law, AICPA says.
January 30, 2019
To Meet SEC's N-Port Rule, Overbond Marks Bond Prices, Liquidity LevelsOverbond's COBI platform uses deep data to monitor and report funds' fixed income holdings.