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.
Be Prepared for Heightened SEC, FINRA Scrutiny on ICOs
By Nicolas MorganIronically, the more regulators treat ICO tokens like securities, the more securities industry intermediaries will be drawn into this supposedly disintermediated space.
January 12, 2018
IRS Can't Afford to Prep for New Tax Law: Taxpayer AdvocateTaxpayers seeking IRS guidance on tax law changes may be out of luck thanks to a massive funding shortfall, the Taxpayer Advocate office warns.
January 12, 2018
SEC Fines Insurance Exec for Fraud; Says He Used Proceeds to Fund Dog Rescue CharityIn another enforcement action, the SEC charged a municipal advisor with defrauding a Mississippi city.
January 12, 2018
FINRA Arbitrator Pool Shows Slow, Steady Increase in DiversityFINRA has greatly stepped up its efforts to recruit more women and minorities as arbitrators in the last two years, new data shows.
January 11, 2018
SEC Commissioners Peirce, Jackson Sworn InThey join the commission as the agency preps a fiduciary rule for brokers.
January 11, 2018
IRS Releases Tax Withholding Tables for 2018Some Democrats worry that Treasury may have set the tables to encourage "underwithholding" to make paychecks look bigger.
January 11, 2018
Taxpayer Advocate Blasts 'Unreal' IRS AuditsFrequent targets of non-audit audits include ACA premium tax credit users, the official says.
January 09, 2018
Bitcoin ETFs Face Regulatory HurdlesThree of six ETF registrations that await SEC approval have been withdrawn.