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 Broker Conduct Plan Is Not a Fiduciary Standard
By Melanie WaddellAdvocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.
April 18, 2018
SEC Meets to Vote on Fiduciary ProposalIndustry officials weigh in as the agency prepares to vote on the rules this afternoon.
April 18, 2018
Mnuchin Says Taxpayers to Get Extension After IRS Site CrashesThe malfunctions included e-file and direct pay, which allow taxpayers to pay what they owe through their bank accounts,
April 17, 2018
On Tax Day, IRS' Online Filing FailsAn error message appears when users select the direct-pay option.
April 17, 2018
House to Vote on Bills to Revamp IRSFull House is scheduled to take up and debate Wednesday the 21st Century IRS Act.
April 17, 2018
The IRS Really Needs a New Computer SystemThe tax agency's embrace of IBM in the 1950s helped drive down audit rates. It's still depending on the same code.
April 17, 2018
New SEC Ad Promotes Background Checks of Investment ProfessionalsMore than 9 million new users have used Investor.gov since it launched in October 2009.
April 16, 2018
Fed's Community Advisory Council Seeks New MembersCandidates from financial services and technology, asset and wealth building and housing and mortgage finance are welcome.