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.
Fed Nominees Clarida and Bowman Testify in Confirmation Hearings
By Christopher Condon and Craig TorresFormer Fed policy advisor Vince Reinhart said both "showed themselves to be team players."
May 11, 2018
Fed Chair Powell Agrees to Public Vote on Wells Fargo Remediation PlansPowell also said he'd consider releasing as much as possible of the third-party review on the bank's reforms.
May 11, 2018
New IRS Tool Lets Taxpayers Research CharitiesThe all-in-one search tool is designed to provide easier, faster access to public information.
May 11, 2018
Broker Sentenced to More Than 5 Years in Prison for Fraud: EnforcementMeanwhile, a hedge fund manager was sent to prison for six years.
May 10, 2018
DOL Fiduciary Rule Still Effective Until Court Issues Mandate: LawyerThe 5th Circuit has yet to issue an order to vacate the rule, as it was expected to do on Monday.
May 10, 2018
IRS Warns of Tax Scam Targeting Nonresident Aliens and International TaxpayersCriminals solicit recertification of foreign status using a bogus form.
May 10, 2018
Amended FINRA Customer Confirmations Rule Kicks In MondayAmended rule requires BDs to disclose more transaction-related information to retail customers for trades in fixed income securities; MSRB gets SEC OK to establish a new advertising rule
May 09, 2018
SEC Charges Texas-Based Muni Advisor With Defrauding School DistrictThe municipal advisor overstated its municipal finance experience and failed to disclose conflicts of interest.