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.
IRS Shuts Down Financial Aid Tool Over Security Concerns
By Jane SmithCollege students and families can work around the outage, but it may dissuade some applicants.
March 17, 2017
OCC Releases New Licensing Regulations for Fintech Bank ChartersFinancial technology companies are now one step closer to having the means to apply for special purpose national bank charters.
March 17, 2017
FINRA Plays ‘Gotcha’ With Brokers, Short-Changes Investors: Hester PeirceThe former nominee for SEC commissioner tells ThinkAdvisor why the SEC is a better regulator than FINRA and what's wrong with Dodd-Frank.
March 17, 2017
Tech Exec Gets 9 Years in Prison Over Fraudulent Stock Offering: EnforcementIn other enforcement news, an auditor was charged with insider trading on a clients nonpublic information.
March 15, 2017
Ex-Morgan, Wells Fargo Advisor Who Solicited Pro-Athlete Clients Barred by SECThe advisor was also an NFL Players Association registered financial advisor.
March 14, 2017
Trump Issues Order to Reorganize, Streamline Federal AgenciesThe OMB director must propose a plan to "reorganize governmental functions and eliminate unnecessary agencies."
March 10, 2017
FINRA Floats Plan to Streamline Competency ExamsFINRA wants to revise exam structure to eliminate "duplicative testing and barriers to demonstrating and maintaining qualifications."
March 09, 2017
Vacation Home or Rental Property? The IRS ViewpointTax Facts online experts explain how the IRS handles these deductions and what you should know for you and your clients.