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.
More States Adopt Advisor CE Requirements
By Thomas D. GiachettiWhile many jurisdictions have adopted rules similar to the NASAA model rule, rules vary from state to state.
September 01, 2022
Key Aide to FINRA CEO Gets a PromotionNathaniel Stankard will spearhead integrating FINRA's regulatory operations.
September 01, 2022
Goldman Closes on NextCapital Purchase: Tech RoundupAlso, Goldman Sachs finalizes its purchase of robo-advisor NextCapital Group.
September 01, 2022
DOL Orders Wells Fargo to Pay $22M Over Whistleblower RetaliationSenior manager who was fired had repeatedly voiced concerns regarding conduct that violated relevant financial laws.
September 01, 2022
SEC Charges Malta-Based RIA in $75M SchemeThe RIA allegedly orchestrated the frauds through complex investment structures and a web of affiliate companies.
August 31, 2022
Blowing the Whistle on How Insider Tips Are Handled: SEC RoundupIn a secretive process, the SEC looks to private lawyers to examine whistleblower tips, professor Alex Platt says.
August 31, 2022
Small RIAs Likely Breaking New DOL Rollover Rule Without Knowing It: ERISA LawyerMany small firms are unaware of the rule and lack a compliance officer, Faegre Drinker partner Fred Reish says.
August 30, 2022
Reg BI Enforcement to Zero In on RecommendationsThe SEC has released a strategic plan, setting out its goals over the next four years.