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.
FINRA's Stepped-Up Broker Background Checks to Start in July
By Melanie WaddellBeginning July 9, FINRA will conduct a public records search within 15 days of an applicant's Form U4 filing.
May 30, 2018
AICPA Wants More IRS Guidance on Virtual Currency TaxesWhat about foreign reporting requirements? Or saving cryptocurrencies in a retirement account? These are just a few of the complex questions that arise.
May 29, 2018
DOL's Fiduciary Rule Still Could Come Back to LifeThe Fifth Circuit decision sounds like a resounding victory for the rule's opponents, but some uncertainty remains.
May 29, 2018
Regulatory Roulette Being Played With Fiduciary StandardRIAs and BDs are laboring under a fiduciary standard battle that offers no "regulatory clarity," argues Fi360's Blaine Aikin.
May 25, 2018
Pot Firm Lied About Cheech & Chong Connection, SEC Says: EnforcementA Bud Genius co-founder falsely described Chong as a "partner," according the SEC.
May 24, 2018
New Jersey Warns IRS Against Banning Property Taxes as Charitable GiftThe state's attorney general threatened to sue the IRS if it disallows a state workaround on new caps for state and local tax deductions.
May 24, 2018
Orion's Latest Tech Updates Empower Financial Planners, Chief Compliance OfficersAs part of the updates, advisors no longer need to advisors to manage several different billing applications.
May 23, 2018
IRS Warns Against State Tax Deduction WorkaroundsThe agency's brief guidance also said it "intends to propose regulations" on the matter.