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.
Advisor Hunted by FBI Is Ordered to Pay $12M
By Melanie WaddellAdvisor Christopher Burns disappeared in 2020 after allegedly scamming about 100 investors.
June 08, 2022
SEC Chief Takes Aim at Payment for Order Flow in Sweeping Plans for Stock MarketsThe plan would be the agency's most direct response to 2021's trading in GameStop and other meme stocks.
June 08, 2022
Biden's Pick for a Key DOL Post Loses Senate VoteThe Senate voted 51-49 against Lisa Gomez's nomination to lead EBSA, which oversees retirement plan rules.
June 08, 2022
SEC Weighs Sending Retail Stock Orders to Auctions for ExecutionThe SEC is attempting to rein in payment for order flow.
June 08, 2022
Minnesota and South Carolina Update Annuity Sales StandardsHalf of all states have now adopted new standards based on an insurer-backed NAIC model.
June 07, 2022
How to Invest in Crypto NowFrom cryptocurrency exchanges to private funds to crypto-linked ETFs, your clients have plenty of investing options.
June 07, 2022
Fake Financial Advisor Gets 4.5 Years in Prison for FraudThe defendant used some of the $3 million scammed from clients for gambling and to make Ponzi payments.
June 07, 2022
Sole-Proprietor RIA Becomes Latest Target of SEC's 12b-1 Fee ActionsThe SEC ordered KMA to pay more than $300,000.