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.
Federal Risk Tracker Spooks Life Industry Analyst
By Allison BellPeter Troisi sees little awareness of the Financial Stability Oversight Council's new ambitions.
June 22, 2023
SEC Committee Floats User Fees, Third-Party Exams for RIAsSEC Commissioner Hester Peirce was quick to pose questions on how such plans would work.
June 20, 2023
Emojis Could Prompt a Customer Complaint, FINRA Exec WarnsWhile FINRA isn't planning emoji-related enforcement, its exam chief urges BDs to consider "novel issues" in texting.
June 20, 2023
Crypto Exchange Backed by Schwab, Fidelity Goes LiveEDX Markets, which does not custody digital assets, offers institutional trading in Bitcoin, Ethereum, Litecoin and Bitcoin Cash.
June 16, 2023
FINRA Exams Are Changing, Execs SayFINRA is conducting more on-site exams, but examiners will spend less time on-site.
June 16, 2023
Ex-LPL Broker Fined, Suspended for Not Disclosing Child Sex Abuse ChargeFINRA suspended the ex-broker for five months and fined him $5,000.
June 16, 2023
PIMCO Hit With $9M SEC FineIn one of two enforcement actions, PIMCO failed to waive $27 million of advisory fees as it had agreed.
June 15, 2023
New DOL Fiduciary Rule Coming in AugustLabor's new reg flex agenda says the conflict of interest rule would amend the definition of "fiduciary."