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.
5 Long-Term Effects of Ukraine War on U.S. Economy: The Economist
By Michael S. FischerThe Economist Intelligence Unit makes some observations and predictions.
May 03, 2022
SEC to Nearly Double Crypto Unit"Get ready for an SEC enforcement onslaught," former SEC internet enforcement chief John Reed Stark says.
May 02, 2022
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsFINRA has released its 2022 Industry Snapshot.
April 29, 2022
Ex-Cetera Broker Gets $3M in Damages for Wrongful TerminationIn a FINRA arbitration case, the rep accused the firm of wrongfully terminating him in 2019.
April 29, 2022
Get Ready for New DOL IRA Rollover Guidelines This SummerAdvisors should brush up on rollover standards now to ensure they're ready to comply come July.
April 29, 2022
FINRA Alerts BDs to Email Phishing ScamsOne phishing campaign is ongoing and another new.
April 29, 2022
Wells Fargo Mistakenly Announces Death of Advisor Who Left Firm"It's good to be alive and I'm very thankful to be with oXYGen Financial," Robert Brian Watson told ThinkAdvisor.
April 29, 2022
Can Federal Courts Override SEC Enforcement Actions?: SEC RoundupCivil liberties lawyer Peggy Little discusses whether SEC defendants can challenge the SEC's hearing process in court.