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.
IRS Clarifies Rules on Business Meal Deductions
By Marlene SatterThe 2017 tax overhaul repealed entertainment-related deductions but didn't lay out rules for business meals.
October 01, 2018
FINRA Consolidates 3 BD Exam ProgramsFINRA's business conduct, financial and trading compliance exams will be consolidated "under a single framework."
September 28, 2018
SEC Charges Ex-Wells Fargo Broker With Defrauding Seniors: EnforcementAlso, the SEC and CFTC filed charges against a Bitcoin-funded securities dealer and CEO.
September 28, 2018
SEC Approval of a Bitcoin ETF Does Not Depend on Who Worked at GoldmanThe U.S regulatory agency has bigger concerns, and is looking at a range of highly technical issues.
September 27, 2018
SEC Sues Musk, Seeks Ban for Tweets on Go-Private DealSuit sends Tesla shares down 13% in after-hours trading; SEC seeks order that Musk can't serve as officer or director.
September 27, 2018
IRS Hands Out $13.6M Whistleblower AwardWhistleblower information led to the IRS collecting over $52.6 million in taxes, penalties and interest in the case.
September 27, 2018
FINRA's New Competency Exams Start MondayFINRA is also eliminating 7 of its 16 rep-level exams.
September 27, 2018
Sizing Up the SEC's Form CRSConsumer groups present the SEC with survey results that show investor confusion on Form CRS; lawmakers also weigh in.