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.
5 IRS 199A Deduction Reg Questions, for Annuity Sellers
By Allison BellThe biggest question may be whether the 199A glossary will affect other IRS regs.
January 18, 2019
Waters, McHenry Introduce Bill to Curb Insider TradingThe bill requires the SEC to ensure corporate insiders are unable to indirectly engage in illegal insider trading through changes to trading plans.
January 18, 2019
Broker Barred for Concealing Commissions From Native American Tribe: EnforcementMeanwhile, a firm principal was barred for falsely claiming the firm had enough assets to register with the SEC.
January 15, 2019
The Shutdown's Bad, and It Could Get Much Worse"Shutdowns don't get bad linearly; they get bad exponentially," says Sam Berger, who worked at OMB during the 2013 government shutdown.
January 15, 2019
SEC Charges 9 in Edgar HackThe SEC alleges that after hacking newswire services, Ukrainian hacker Oleksandr Ieremenko turned his attention to Edgar.
January 11, 2019
Sheila Bair Warns About Low-Quality Corporate DebtExcessive, low-quality debt could threaten the economy, the ex-FDIC chair warns.
January 10, 2019
Bitwise Files for Bitcoin ETF With the SECThe firm says the filing addresses the agency's key concerns about custody and Bitcoin prices.
January 10, 2019
Shutdown Has Advisors Juggling Financial Tips, Career CounselingWashington-based advisors discuss their suggestion for clients, who have mounting questions as they prepare to miss a paycheck.