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.
IRS Warns of New Surge in Phishing Scams
By Melanie Waddell"The holidays and tax season present great opportunities for scam artists to try stealing valuable information through fake emails," said IRS' Rettig.
November 30, 2018
Floyd Mayweather, DJ Khaled Fined by SEC for Unlawfully Touting ICOs: EnforcementMeanwhile, FINRA barred a broker for splitting a client's investments into 42 different mutual funds.
November 28, 2018
IRS Ups IRA Contributions as Concerns RiseAlso, a new survey finds that a high percentage of retirees lack an understanding about the effect that taxes have on their retirement income.
November 28, 2018
SEC, DOL Share Details on Plans for Advice StandardsBoth regulators are expected to finalize rules for conduct standards by September 2019.
November 28, 2018
What's Inside the SEC's Best Execution Risk AlertAdvisors often don't realize that best execution requirements have many facets, all of which are worth a careful review.
November 28, 2018
FINRA's Havlik Explains the Consolidated Exam ProgressChanges will unfold throughout 2019 and not come in "one Big Bang," according to the regulator.
November 27, 2018
LPL Hit With $2.75M FINRA Fine Over Cyber InfractionsFINRA found fault with LPL's AML program.
November 27, 2018
CMS Proposes Medicare Part D UpdatePlans could make more use of prior authorization and step therapy.