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 Alert Details ‘Robust’ Cybersecurity Best Practices
By Melanie WaddellThe agency's exams found that firms had stepped up their cyber compliance, but more effort is needed.
August 10, 2017
DOL Fiduciary Delay Would Be ‘Double-Edged Sword,’ Lawyer SaysWe will be in limbo for another two years, at least, says Steve Saxon of Groom Law Group.
August 10, 2017
529 College Plans and Taxes: The Basics and Then SomeFind out how to decipher the basic IRS rules, though for IRS that means complicated, for 529 college savings plans.
August 09, 2017
Do Your Clients Have Unreported Bitcoin Gains?The IRS isnt going to ignore property gains just because they only exist online.
August 09, 2017
IRS: Watch Out for 'Tax-Savvy' Phishing Scams Ahead of Oct. 15Cybercriminals send emails about "software updates" to try and get info on taxpayers and commit fraud.
August 09, 2017
DOL Seeks 18-Month Delay for Fiduciary ComplianceThe Labor Department has requested a delay for the best-interest contract exemption and two other PTEs.
August 09, 2017
SEC Busts Advisor in AUM Inflation SchemeThe advisor falsely claimed SEC registration eligibility and solicited clients using false paperwork, the regulator says.
August 08, 2017
DOL May Announce Fiduciary Rule Delay This Month, Attorneys SayLabor "needs to address the delay immediately" to reduce uncertainty in the industry, says Steve Saxon of Groom Law Group.