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.
Tom Brady, Steph Curry FTX Endorsements Probed by Texas Regulator
By Allyson VersprillePayments the stars received to endorse the crypto exchange are being reviewed, along with disclosures and how accessible they were to retail investors.
November 18, 2022
SEC Orders Public Proceedings Over 'Misleading' Crypto OfferingsThe SEC is considering whether to suspend the registration of American CryptoFed DAO's Ducat and Locke tokens.
November 18, 2022
Industry Groups Press Lawmakers to Pass Secure Act 2.0If Secure Act 2.0 fails to get attached to a budget bill, the sweeping retirement bill "will languish" next year, says ERISA attorney Brad Campbell.
November 18, 2022
Ex-J.P. Morgan Broker Barred by FINRA After Multiple Trading ViolationsEdward L. Turley was discharged by the firm and then refused to provide testimony during a FINRA investigation.
November 18, 2022
Meet the 2022 LUMINARIES WinnersThese 33 individuals and firms are making a difference in Community Impact, Diversity & Inclusion, Executive Leadership and Thought Leadership.
November 16, 2022
FINRA Launches Targeted Exam of BDs' Crypto Asset CommunicationsThe exam targets broker-dealer practices regarding retail communications concerning crypto asset products and services.
November 15, 2022
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying TaxesJames Millegan concealed millions of dollars from the IRS, according to court documents.
November 15, 2022
SEC Enforcement Actions Brought in Record $6.4 Billion in 2022The number of enforcement actions jumped 9% from 2021.