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.
Trump's Deregulatory Push So Far Amounts to 'Inaction': SEC Counsel
By Melanie WaddellWhile the administration has "halted the growth of regulation that imposes costs," so far few existing regs have been repealed, says Connor Raso.
September 20, 2018
House Ways and Means Chair Presses IRS to Update Crypto GuidanceTaxpayers need a better understanding of their obligations when it comes to virtual currencies, Rep. Kevin Brady wrote.
September 19, 2018
SEC Halts $345M Ponzi-Like Scheme That Bilked Pro Athletes, AdvisorsThe scheme involved consumer debt portfolios, the SEC said.
September 19, 2018
Regulators Warn of Hurricane Florence-Related Scams"When a natural disaster strikes, it's not uncommon for scammers to rush in," said FINRA's Walsh, as self-regulator released Investor Alert.
September 19, 2018
SEC Plans Retail Investor Fraud RoundtableThe discussion will focus on steps that can be taken to enhance ability of regulators and BDs to combat retail investor fraud.
September 18, 2018
SEC's New Form N-CEN Filing Deadline Kicks in for Some FundsThe SEC also announced on Sept. 11 XML schema changes for N-PORT and N-CEN that take effect Oct. 1.
September 18, 2018
SEC Reopens Advisor Proxy Voting DebateThe agency withdrew two no-action letters allowing advisors to use third-party voting services.