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.
AICPA Wants More IRS Guidance on Virtual Currency Taxes
By Melanie WaddellWhat about foreign reporting requirements? Or saving cryptocurrencies in a retirement account? These are just a few of the complex questions that arise.
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.
May 23, 2018
Treasuries Are a No-Go for European Insurers Battling RegulationAXA prefers Swiss and Japanese bonds.
May 23, 2018
Here's How FINRA Defines a 'High-Risk' BrokerThe regulator looks at a number of factors to make an assessment, says head of member regulation Mike Rufino.
May 22, 2018
Will SEC's Broker Conduct Rule Work? BDs, Attorneys Weigh InBrett Redfearn, director of the SEC's Trading and Markets division, urged BDs to comment on the agency's standard of conduct proposals.