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.
8 Financial Managers Indicted in $72M Scheme
By Jeff BermanThe defendants scammed at least 200 clients, according to prosecutors.
April 11, 2023
How Many CFP Exam Takers Passed the Latest Test?A record number of candidates sat for the most recent certification exam, according to the CFP Board.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.
April 10, 2023
FINRA's New Research Analyst Exam Starts May 15The revised Series 86 and 87 exams encompass the five major job functions a Research Analyst performs.
April 06, 2023
New Final Medicare Marketing Rules Curb Event-Based MarketingThe new rules could help agents who serve people who just walk in.
April 06, 2023
FINRA Tightens Work-From-Home Rule Plan for BrokersFINRA tightened eligibility rules after industry pushback.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.
April 06, 2023
Goldman Fined $3M for Marking 60M Short Sales as LongFINRA said the bank had failed to set up systems to comply with trade-reporting rules that it allegedly broke.