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.
Western Asset Management Names New CEO After SEC Probe
By Melanie WaddellThe news comes after former co-CIO Ken Leech was charged with fraud.
November 27, 2024
Are Small-Business Clients Ready for This Looming Deadline?Treasury's BOI reporting deadline is coming up, and penalties for violation are steep.
November 27, 2024
Atkins, Ex-SEC Commissioner, Could Succeed GenslerTrump is expected to make a pick in the coming days, but no decision has yet been made.
November 27, 2024
More Than 60 Brokers Hit With FINRA Sanctions Over CE CheatingAnother individual completed the required training on the brokers' behalf, FINRA says.
November 27, 2024
Court Strikes Down SEC Dealer Rule: SEC RoundupThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.
November 26, 2024
Robinhood’s Gallagher Drops Out of SEC Chair ConsiderationThe ex-SEC commissioner, now Robinhood's chief legal officer, said he's "committed" to the firm's millions of customers.
November 26, 2024
Leech Shunted $600M to Favored Portfolios: SEC, DOJThe former co-chief investment officer for Western Asset Management, 70, could face 20 years in prison.
November 25, 2024
SEC Sanctions Hit New High at $8.2B in 2024Marketing Rule violations resulted in settled charges against more than a dozen advisors.