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 Delivered 'Unprecedented' Processing Volume in 2018
By Melanie WaddellFINRA says its "pioneering" cloud strategy allowed the regulator to handle the volume while maintaining vigorous oversight.
January 22, 2019
5 IRS 199A Deduction Reg Questions, for Annuity SellersThe biggest question may be whether the 199A glossary will affect other IRS regs.
January 22, 2019
FINRA Forum Shows Promises and Pitfalls of New TechnologiesHow experts from the securities industry and its regulators view AI, blockchain and other new technologies
January 22, 2019
FINRA Releases 2019 Exam PrioritiesThe annual letter highlights ongoing issues like cybersecurity along with some new areas of focus.
January 18, 2019
Waters, McHenry Introduce Bill to Curb Insider TradingThe bill requires the SEC to ensure corporate insiders are unable to indirectly engage in illegal insider trading through changes to trading plans.
January 18, 2019
Broker Barred for Concealing Commissions From Native American Tribe: EnforcementMeanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC.
January 15, 2019
The Shutdown's Bad, and It Could Get Much Worse"Shutdowns don't get bad linearly; they get bad exponentially," says Sam Berger, who worked at OMB during the 2013 government shutdown.
January 15, 2019
SEC Charges 9 in Edgar HackThe SEC alleges that after hacking newswire services, Ukrainian hacker Oleksandr Ieremenko turned his attention to Edgar.