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 Slams RIA With $30M Fine Over 12b-1 Fees, Proprietary Funds
By Melanie WaddellThe SEC is getting "aggressive" in fighting breaches of fiduciary duty, Ron Rhoades told ThinkAdvisor.
March 02, 2022
FINRA Releases FAQ on Senior Exploitation RulesThe FAQ clarifies new rules that expand BDs' power to protect clients they think are targets of financial abuse.
March 01, 2022
Sen. Wyden Calls for 6 Economic Actions Against RussiaCongress must address key areas to punish Putin for invading Ukraine, the Senate Finance Committee chair said.
March 01, 2022
FINRA Alerts Broker-Dealers to Russia SanctionsFINRA issued two alerts urging BDs to review sanctions against financial institutions as well as debt and equity offerings.
February 28, 2022
2 Members of $20M Scam Convicted, Could Face Rest of Lives in PrisonThe Arizona and California men are the latest players in the multi-state conspiracy that deceived hundreds of mostly older investors.
February 28, 2022
Some Insurance Fund Managers Have a Toe in RussiaThe stakes in companies like Gazprom and Sberbank performed well in 2021.
February 25, 2022
Wells Fargo Appeals FINRA Arb Ruling Struck Down in CourtWells Fargo is appealing a Georgia judge's ruling that Wells Fargo and its counsel manipulated FINRA's arbitrator selection process.
February 24, 2022
Identity Fraud and Theft Increased Ahead of Tax Season: ReportFraudulent creation of new credit and loan accounts rose 61% from 2020 to 2021, Allstate Identity Protection found.