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.
Fed Officials Want to End Unwinding of Balance Sheet Assets: Minutes
By Christopher Condon and Craig TorresThe minutes explain a dovish Fed turn in January as markets wobbled.
February 15, 2019
Execs Face Up to 5 Years in Prison for Lying to SEC: EnforcementMeanwhile, the SEC canceled the registration of an internet-based RIA who failed for three years to launch a website.
February 14, 2019
FINRA Warns of BD Phishing ScamBDs reported receiving suspicious emails from a purported compliance officer working at what appears to be a legitimate credit union.
February 12, 2019
IRS Enters Tax Season 'Inundated,' Says Taxpayer AdvocateThe IRS was already struggling with a heavy workload and aging technology. Then the shutdown hit.
February 12, 2019
SEC's Peirce on Reg BI: 'It's Important That We Move Forward'At a Bipartisan Policy Center event, Peirce also cautions about the SEC's stance on Bitcoin ETF approval.
February 08, 2019
Final SEC Reg BI Plan Likely in 3rd Quarter, Says IAA ExecutiveNeil Simon, the Investment Adviser Association's top lobbyist, says that despite delays, "it's going to happen."
February 08, 2019
Court Grants Fraud Judgment Against Co-Owner of Defunct Investment Advisor: EnforcementThe SEC also received judgements on actions involving a penny stock scheme and a fraud.
February 07, 2019
Unpacking IRS' 199A Regs: Final vs. Proposed RulesThe final rules contain some twists that may surprise clients who are currently calculating their 2018 tax liability.