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.
Ric Edelman to Cut Ties With Bitwise
By Melanie WaddellEdelman wants to avoid potential conflicts of interest with his clients that could arise in the future.
February 01, 2019
SEC Charges Advisor With Bilking Investors to Fund Lifestyle: EnforcementThe SEC also charged a real estate developer with an offering fraud that funded his luxury hunting ranch.
January 31, 2019
Court Ruling Extending SEC's Fraud Reach May Push More ICOs OffshoreIf most of the buyers of a security are located outside the U.S., do federal securities laws apply?
January 31, 2019
IRS Faces Backlog as Tax Season Gets UnderwayThe shutdown has compounded difficulties as the IRS scrambles to implement the new tax law, AICPA says.
January 30, 2019
To Meet SEC's N-Port Rule, Overbond Marks Bond Prices, Liquidity LevelsOverbond's COBI platform uses deep data to monitor and report funds' fixed income holdings.
January 30, 2019
FINRA Offers New WebCRD FeatureNew functionality allows queries on reps' information to be viewed in a single-page format; more updates to come.
January 30, 2019
Fed Adopts Patient Rate Stance and Balance-Sheet FlexibilityStocks and bonds gained after the Fed's announced its policy pivot toward accommodation.
January 29, 2019
SEC Hires Kimmel to Oversee CAT ImplementationShe will coordinate the SEC's oversight of the self-regulatory organizations' creation and implementation of the Consolidated Audit Trail.