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.
FINRA Plays ‘Gotcha’ With Brokers, Short-Changes Investors: Hester Peirce
By Jane Wollman RusoffThe former nominee for SEC commissioner tells ThinkAdvisor why the SEC is a better regulator than FINRA and what's wrong with Dodd-Frank.
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.
March 09, 2017
Voya to Pay $3.1M for Not Disclosing Payments Tied to Fund SalesThe advisor group will pay penalties for failing to tell clients about revenue collected from a third-party BD, the SEC said.
March 09, 2017
Fund Fee Disclosure Is Topic of First SEC Evidence SummitActing SEC Chair Piwowar says the agency is talking with the OMB and Congress about the hiring freeze under Trump.
March 08, 2017
SEC Uses Satellite Imagery to Crack Accounting Fraud Case: EnforcementIn other enforcement actions, the SEC fined the promoters of a points-based pyramid scheme.
March 08, 2017
Labor Pick Acosta’s Nomination Hearing Set for March 15Acosta "understands how harmful Obama-era labor regulations have made it harder for Americans to create, find or keep good-paying jobs," said HELP Committee chair.