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 Examiners Turn Up the Heat on Marketing Rule Compliance
By Melanie WaddellSEC's new risk alert shows examiners "will be undertaking a comprehensive approach," says attorney Issa Hanna.
June 08, 2023
House Passes Bill to Create Senior Fraud Task ForceThe Senior Security Act would direct the SEC to set up a task force on protecting older adults from scams.
June 07, 2023
California Annuity Sales Rule Bill Faces Consumer Group OppositionThe consumer groups want to require agents to disclose cash compensation.
June 06, 2023
Ex-Edward Jones Rep Fined, Suspended for Texting Client DocsThe former advisor was suspended for 15 months and fined $15,000 by the regulator.
June 06, 2023
SEC's Coinbase Lawsuit Heralds Deepening Crypto CrackdownCoinbase for years evaded its rules by letting users trade crypto tokens that were actually unregistered securities, the regulator says.
June 05, 2023
House Advances Bills to Expand Accredited Investor DefinitionThe full House passed late Monday the Accredited Investor Definition Review Act and the Fair Investment Opportunities for Professional Experts Act.
June 05, 2023
SEC's New Cyber Rule Plan Needs Changes, Trade Groups SayThe update to Reg S-P would require firms to notify clients of data breaches.
June 05, 2023
Watchdog to CMS: Track Medicare Advantage Claim DenialsChristi Grimm says leaving denials out of the patient records hurts efforts to fight fraud and abuse.