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.
SEC Meets to Vote on Fiduciary Proposal
By Melanie WaddellIndustry officials weigh in as the agency prepares to vote on the rules this afternoon.
April 17, 2018
House to Vote on Bills to Revamp IRSFull House is scheduled to take up and debate Wednesday the 21st Century IRS Act.
April 17, 2018
The IRS Really Needs a New Computer SystemThe tax agency's embrace of IBM in the 1950s helped drive down audit rates. It's still depending on the same code.
April 17, 2018
New SEC Ad Promotes Background Checks of Investment ProfessionalsMore than 9 million new users have used Investor.gov since it launched in October 2009.
April 16, 2018
Fed's Community Advisory Council Seeks New MembersCandidates from financial services and technology, asset and wealth building and housing and mortgage finance are welcome.
April 16, 2018
SEC to Release FAQ on Share Class Selection Disclosure Initiative"We have received a number of questions" about the voluntary program, said Stephanie Avakian, co-director of the SEC's enforcement division.
April 13, 2018
FINRA Sweeps BDs for Info on VIX-Linked ProductsThe exam sweep covers member firms and advisors selling these products between October 2017 and February 2018.
April 13, 2018
Instinet Fined $1.5M by FINRA, NYSE & Others: EnforcementThe SEC announced that courts fined an investment advisor and his companies for defrauding clients.