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 Charges Ex-Rep With Using Investor Funds for Private Jets, Plastic Surgery: Enforcement
By Emily ZulzMeanwhile, the SEC fined a scientist for insider trading.
August 01, 2018
FSI Backs Kovack Securities Co-Founder for FINRA Board SeatIf elected, Brian Kovack would be serving a second term as midsize firm governor.
July 31, 2018
GAO: 21% of Taxpayers Will Owe More in 2019 Due to UnderwithholdingThe report "is an alarm bell," said Sen. Ron Wyden, D-Ore.
July 31, 2018
3 Ways SEC Reg BI Could Confuse Investors: ReishBDs and RIAs will be subject to best-interest standards that sound the same but aren't, attorney Fred Reish says.
July 30, 2018
SEC Comment Period Draws to a Close as DOL Guidance ExpectedA comment period extension could be issued on the SEC advice package while further "fiduciary" guidance from Labor is awaited.
July 30, 2018
FINRA Seeks BD Feedback on How Regs Affect FintechFINRA wants to know how its rules could be modified to support innovation.
July 30, 2018
IRS, Treasury to Issue 529 Plan RegsThe regulations will reflect tax law changes affecting 529 plans as they relate to tuition refunds, K-12 education and rollovers to an ABLE account.
July 27, 2018
DOL Fiduciary Rule's Death Doesn't Mean Business as Usual: Ex-EBSA HeadThe industry is going back to the old rule but not the old interpretations, ex-EBSA head Brad Campbell said.