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 Offers New WebCRD Feature
By Melanie WaddellNew functionality allows queries on reps' information to be viewed in a single-page format; more updates to come.
January 29, 2019
Postcard Premiere of IRS Form 1040: Bloink & Byrnes Go Thumb to ThumbDoes the newly designed Form 1040 simplify the tax filing process or simply result in more confusion?
January 28, 2019
Court Approves $1 Billion Settlement in Woodbridge Ponzi SchemeThe SEC said the scheme defrauded 8,400 retail investors nationwide, many of them seniors.
January 28, 2019
SEC Back to Work, but Expect Slow Response TimesExams, including those that were in progress when funding lapsed, are resuming.
January 28, 2019
FINRA to Crack Down on 529 Plan Share Class RecommendationsTo be eligible for a new voluntary disclosure program, broker-dealers must self-report to FINRA Enforcement by noon on April 1.
January 25, 2019
Betterment, XY Planning Offer Free Services for Unpaid Government WorkersBetterment and XY Planning Network are offering free advice for workers affected by the shutdown.
January 24, 2019
Warren Presses Regulators on Shutdown ImpactMeanwhile, a hearing on the state of the IRS was canceled as Treasury Secretary Mnuchin refused to testify.
January 24, 2019
DOL, SEC Fiduciary-Related Rules to Be a 'Heavy Lift': Attorney ChoiRichard Choi and IRI hope the SEC's VA summary prospectus will be adopted later this year.