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 Shortens Trade Settlement Cycle to 2 Days From 3
By Bernice NapachThe T+2 rule is designed to enhance efficiency and reduce risk, the SEC says.
March 21, 2017
FINRA Seeks Broker-Dealer Comments on Its ProgramsA special notice, part of the FINRA360 initiative, asks for feedback by May 5.
March 21, 2017
Mass. Securities Division Warns of iTunes Gift Card ScamThe alert comes as the IRS warns tax professionals and taxpayers of last-minute phishing email scams.
March 21, 2017
Big SEC Penalties May Be History Under New ChairActing SEC Chair Piwowar's recent decisions and comments regarding penalties suggest a move away from higher and higher penalties against advisors.
March 20, 2017
IRS Shuts Down Financial Aid Tool Over Security ConcernsCollege students and families can work around the outage, but it may dissuade some applicants.
March 20, 2017
FINRA Hires Senior Advisor to CEO CookNathaniel Stankard will provide advice on such issues as FINRAs strategic review of its operations.
March 17, 2017
Federal Agencies Improving Cyber Defense: ReportThe White House recently issued its annual cybersecurity progress report, finding that while progress has been made, a "significant amount of work remains.
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.