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.
SEC Charges Owner of Trading Website With Binary Options Fraud
By Emily ZulzAlso, the SEC charged a CPA, a broker and his wife with fraud involving a shell company.
December 05, 2018
IRS Warns of New Surge in Phishing Scams"The holidays and tax season present great opportunities for scam artists to try stealing valuable information through fake emails," said IRS' Rettig.
December 04, 2018
FINRA Offers Guidance to BDs on 'Unexpected' Market ClosingsAs a day of mourning is declared for President George H. W. Bush, FINRA sets out how to handle various rules.
December 03, 2018
FINRA Files to Allow BDs to Receive E-SignaturesBDs have said not being allowed to obtain e-signatures puts them at a "competitive disadvantage" to RIAs.
November 30, 2018
Floyd Mayweather, DJ Khaled Fined by SEC for Unlawfully Touting ICOs: EnforcementMeanwhile, FINRA barred a broker for splitting a client's investments into 42 different mutual funds.
November 28, 2018
IRS Ups IRA Contributions as Concerns RiseAlso, a new survey finds that a high percentage of retirees lack an understanding about the effect that taxes have on their retirement income.
November 28, 2018
SEC, DOL Share Details on Plans for Advice StandardsBoth regulators are expected to finalize rules for conduct standards by September 2019.
November 28, 2018
What's Inside the SEC's Best Execution Risk AlertAdvisors often don't realize that best execution requirements have many facets, all of which are worth a careful review.