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.
A Top UBS Advisor Looks Ahead to 2018
By Jane Wollman RusoffBarron's top advisor Jonathan Murray and UBS senior lobbyist John Savercool talk to ThinkAdvisor about post-tax reform investment opportunities and the regulatory landscape.
December 27, 2017
All Eyes on Uniform Fiduciary Rule, but Skeptics AboundCan the SEC and Labor successfully collaborate on a uniform fiduciary standard? Industry watchers like Brian Hamburger have their doubts.
December 25, 2017
IRS Postpones 1095 Delivery DeadlineIRS Notice 2018-06 reminds employers and insurers that the ACA is still on the books.
December 22, 2017
IRS Reports 91.5% Conviction Rate for Tax-Related CrimesCybercrime is a major focus of the agencys criminal investigation division.
December 22, 2017
Broker Charged With Illegally Accepting $1M in Cash Kickbacks: EnforcementRaymond James and Merrill Lynch both receive million-dollar FINRA fines.
December 22, 2017
Here Are FINRA’s Plans for 2018Changes in FINRAs suitability rule and streamlining of restrictions on outside business activities are on tap for the new year.
December 22, 2017
Peirce, Jackson Confirmed as SEC CommissionersThis will be the first time the SEC has had a full commission since 2015; the Senate also approved a new Labor EBSA head.
December 21, 2017
SEC Busts $1.2 Billion Ponzi Scheme Targeting SeniorsMore than 8,400 investors were defrauded in unregistered Woodbridge funds, the SEC says.