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.
CFP Board May Revise New Fiduciary Standard if SEC Sets Higher One: Keller
By Melanie WaddellCFP Board CEO Kevin Keller said the Board's new fiduciary standards 'can serve as a reference' for the SEC's fiduciary rulemaking.
March 27, 2018
SEC Charges Wedbush Over Longtime Broker's Pump-and-Dump SchemeThe SEC charges that Wedbush failed to supervise the broker and ignored multiple signs of her fraud.
March 27, 2018
DOL Weighs Political Pressure to Drop Defense of Fiduciary RuleWhat is the fiduciary rule's fate now that the NAFA case has been dismissed? First, a Supreme Court appeal is less likely.
March 27, 2018
Push to Reform, Update IRS Advances in House'The IRS still has 1960s systems from the Kennedy administration,' according to Rep. Lynn Jenkins.
March 27, 2018
FINRA, State Regulators Accused of Letting Sensitive Data Go PublicState regulators made Social Security numbers accessible for years, a whistle-blower says.
March 26, 2018
Advisor on Active Military Duty Fights Morgan Stanley Over Arb CaseLt. Cmdr. Harvey R. Klyce lost a false-inducement case against Morgan Stanley. The SEC is his last hope, he tells ThinkAdvisor.
March 23, 2018
IRS Warns Taxpayers to Report Virtual Currency Transactions'Virtual currency transactions are taxable by law just like transactions in any other property,' the IRS states.
March 23, 2018
Scalia: DOL Fiduciary Rule Will Be ObliteratedAn interview with Eugene Scalia, the former Labor Department solicitor who took on the fiduciary rule.