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.
FSI Backs Kovack Securities Co-Founder for FINRA Board Seat
By Melanie WaddellIf elected, Brian Kovack would be serving a second term as midsize firm governor.
July 30, 2018
SEC Comment Period Draws to a Close as DOL Guidance ExpectedA comment period extension could be issued on the SEC advice package while further "fiduciary" guidance from Labor is awaited.
July 30, 2018
FINRA Seeks BD Feedback on How Regs Affect FintechFINRA wants to know how its rules could be modified to support innovation.
July 30, 2018
IRS, Treasury to Issue 529 Plan RegsThe regulations will reflect tax law changes affecting 529 plans as they relate to tuition refunds, K-12 education and rollovers to an ABLE account.
July 27, 2018
DOL Fiduciary Rule's Death Doesn't Mean Business as Usual: Ex-EBSA HeadThe industry is going back to the old rule but not the old interpretations, ex-EBSA head Brad Campbell said.
July 27, 2018
SEC Charges Funeral Financing Firm in $55 Million Ponzi Scheme: EnforcementMeanwhile, an advisor whose website said he had "NEVER" faced a discliplinary complaint was charged with misleading clients.
July 26, 2018
FINRA Completes Enforcement Unit RevampThe reorganization is intended to "ensure a more consistent and foreseeable enforcement program."
July 25, 2018
FINRA Board OKs E-Signature, Custodian ProposalsThe e-signature approval "reflects just how behind the times FINRA is" on technology, recruiter Jon Henschen says.