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.
9 Ideas for Making the SEC's Annuity Summary Prospectus Shine
By Allison BellCommenters offer their thoughts on replacing the current word mud with... something else.
February 26, 2019
Musk Lays Into SEC With More Tweets After U.S. Contempt Claim"Something is broken with SEC oversight," Musk wrote, in response to a user's tweet sympathizing with this position.
February 25, 2019
Elon Musk Faces U.S. Contempt Claim for Violating SEC AccordThe settlement required him to seek pre-approval for social media posts and other communication that would be material to the company or investors.
February 25, 2019
House Panel Probes IRS on Postcard-Size 1040's UsabilityThe IRS taxpayer advocate says the new form is creating challenges for filers.
February 22, 2019
Borzi: DOL Should Not Defer to SEC's Reg BIIf it's adopted without major changes, the "industry continues its conflicted practices," the DOL fiduciary architect tells ThinkAdvisor.
February 22, 2019
FINRA Bars and Fines Rep for Taking Money From a Client: EnforcementAlso, FINRA fined Cetera Advisor Networks for failing to respond to red flags of mutual fund switching.
February 21, 2019
DOL's Acosta Broke Law as US Attorney by Giving Jeffrey Epstein Sweetheart Deal: JudgeEpstein pleaded guilty to two prostitution charges and served 13 months in Palm Beach County jail.
February 20, 2019
More IRS Guidance Needed on Unclaimed 401(k) Savings: GAOMeanwhile, former Labor official Phyllis Borzi calls for increased efforts to find missing plan participants.