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's Havlik Explains the Consolidated Exam Progress
By Melanie WaddellChanges will unfold throughout 2019 and not come in "one Big Bang," according to the regulator.
November 26, 2018
IRS Floats New Business Interest Expense RuleThe rule would limit the tax deduction for certain small businesses whose gross receipts are under $25 million.
November 26, 2018
Regulators Sending 'Mixed Signals' About Crypto Regs: SEC's PeirceThe SEC can also "do a better job at explaining how and why we make decisions and what those decisions mean" to investors, Peirce said.
November 21, 2018
DOL Fiduciary Rule Helped Reduce Conflicts in Fund Sales: MorningstarThe rule "accelerated an existing trend," Morningstar's Aaron Szapiro said.
November 21, 2018
IRS Floats Plan to Allow Higher Estate, Gift Tax ExclusionsThe plan would prevent those who make large gifts now from facing more estate taxes after 2025.
November 21, 2018
IRS Seeks Ideas for Employer 'Cash for Coverage' ArrangementsThe IRS wants to hear from the public about how it might implement proposed HRA rules.
November 20, 2018
SEC Fines Advisory Firm for Failing to Give Promised Fee DiscountsBy not giving fee-breakpoints, Retirement Capital Strategies "improperly calculated advisory fees and thereby overcharged certain clients," the SEC said.
November 19, 2018
IRS Warns of 'Tax Transcript' Email ScamEmotet, a particularly destructive piece of malware, is spreading under the guise of an IRS notice.