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.
SEC Seeks Comments on Earnings, Quarterly Report Changes
By Melanie WaddellShould companies be allowed to report earnings less frequently?
December 17, 2018
SEC Hits BNY Mellon for $54M Over Improper ADR HandlingBNY Mellon improperly provided ADRs to brokers in thousands of prerelease transactions, the SEC says.
December 17, 2018
SEC Warns RIAs to Review Electronic Communication PoliciesAn OCIE Risk Alert zeros in on advisor infractions of the Books and Records and Compliance Rules.
December 13, 2018
Executives to Pay $2.7M to Settle ICO Scam Charges: EnforcementThe SEC also charged an advisor and his daughter with running a Ponzi scheme.
December 13, 2018
SEC Looks Deeper at Advisors' Share-Class Use, Revenue SharingThe SEC is targeting advisors who didn't make voluntary 12b-1 fee disclosures "but perhaps should have," attorneys say.
December 12, 2018
DOL Blocks State Benefit Plan Payment RulesA new ERISA preemption letter ruling could have implications for the fiduciary rule fight.
December 11, 2018
SEC May Use Same Words to Describe Broker, Advisor Standard: ClaytonClayton sparred with Sen. Elizabeth Warren Tuesday about the agency's advice-standards package during an SEC oversight hearing.
December 10, 2018
IRS Eases Nonprofit Employer Benefits Tax CalculationsChurches and colleges will get some flexibility when calculating parking benefits costs.