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.
Postcard Premiere of IRS Form 1040: Bloink & Byrnes Go Thumb to Thumb
By Robert Bloink | William H. ByrnesDoes the newly designed Form 1040 simplify the tax filing process or simply result in more confusion?
January 28, 2019
FINRA to Crack Down on 529 Plan Share Class RecommendationsTo be eligible for a new voluntary disclosure program, broker-dealers must self-report to FINRA Enforcement by noon on April 1.
January 25, 2019
Betterment, XY Planning Offer Free Services for Unpaid Government WorkersBetterment and XY Planning Network are offering free advice for workers affected by the shutdown.
January 24, 2019
Warren Presses Regulators on Shutdown ImpactMeanwhile, a hearing on the state of the IRS was canceled as Treasury Secretary Mnuchin refused to testify.
January 24, 2019
DOL, SEC Fiduciary-Related Rules to Be a 'Heavy Lift': Attorney ChoiRichard Choi and IRI hope the SEC's VA summary prospectus will be adopted later this year.
January 23, 2019
FINRA Delivered 'Unprecedented' Processing Volume in 2018FINRA says its "pioneering" cloud strategy allowed the regulator to handle the volume while maintaining vigorous oversight.
January 23, 2019
No-Losses Hedge Fund Got Sued by SEC, Then Shutdown HitAgency alleged Statim's Joseph Meyer lied about performance; SEC case against him has been stalled by government's closure.
January 23, 2019
IRS, Treasury Clarify QBI Tax DeductionNew final and proposed regs on several aspects of the QBI deduction make important clarifications, particularly involving real estate.