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.
39 Areas of New Tax Law Need ‘Immediate’ IRS Guidance: AICPA
By Melanie WaddellImmediate guidance is needed on the new tax law in areas like retirement and wealth transfer, says AICPAs Tax Executive Committee chairwoman.
January 25, 2018
Ex-Broker Charged With Stealing From His Elderly Mother: EnforcementMeanwhile, an advisor pleaded guilty to defrauding seniors, including his in-laws.
January 25, 2018
SEC Fines 2 Execs in Scheme Defrauding Ex-Jet Mark Sanchez, Other Pro AthletesThe execs and an advisor ran a Ponzi scheme to steal money from the advisor's clients and invest it in their company, the SEC says.
January 25, 2018
SEC Launches Diversity Assessment Report"This is an important step in our efforts to understand the diversity and inclusion efforts of our regulated entities," says SEC's Gibbs
January 25, 2018
Broker Fined for Impersonating Rival With Online Sex AdsWhen an Edward Jones broker in California wanted to exact revenge on a rival, he went too far.
January 22, 2018
FINRA Launches Helpline for Small FirmsThe helpline is intended to help firms get faster answers on routine matters, CEO Robert Cook says.
January 19, 2018
Fed's Quarles Draws Regulatory Road Map for Relaxing Bank RulesThe central banks supervision chief shared a laundry list of ways to make regulation less burdensome for Wall Street.
January 19, 2018
SEC Halts Approvals of Cryptocurrency FundsThe IM Division has significant outstanding questions on how funds holding cryptocurrencies would satisfy the 40 Act and its rules, says SECs Blass.