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 Sends Email Warning on Marketing Rule Compliance
By Melanie WaddellThe regulator is serving notice "that it will aggressively pursue actions against firms," says Lynch of FrontLine Compliance.
May 24, 2022
SEC Names Director of Exam DivisionRichard Best has been the division's acting director since March 23.
May 24, 2022
House Panel to Hold Hearing on Remote Notarization BillH.R. 3962 could help advisors, and their distant competitors, complete paper-free transactions.
May 24, 2022
Don't Wait! Get Ahead of SEC Scrutiny With Mock ExaminationsBeing proactive can keep you out of the agency's glare and help reduce Errors and Omissions claims.
May 23, 2022
Insurance Advisors Market Advisors to CongressPriorities include sales standards, Secure 2.0 and access to independent contractor status.
May 23, 2022
BNY Mellon Investment Adviser Hit With $1.5M SEC Fine for ESG InfractionsBNY Mellon did not always perform the ESG quality review that it disclosed using as part of its investment selection process.
May 20, 2022
Wells Fargo Ordered by Arb Panel to Pay Ex-Credit Suisse Rep Over $987KThe broker accused the wirehouse of "aiding and abetting Credit Suisse's scheme to steal" his deferred compensation.
May 20, 2022
FINRA Revives Plan to Create Expungement Arbitrator RosterThe regulator has approved amendments to a rule proposal it withdrew from the SEC last year.