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 Chief Launches Probe of Complex ETPs
By Melanie WaddellGensler has directed SEC staff to examine the potential risks of complex financial products like leveraged and inverse ETFs.
October 04, 2021
Senate Panel Plans Thursday Nomination Hearing for Key DOL OfficialIf confirmed, Lisa Gomez would lead the Employee Benefits Security Administration as it prepares a new fiduciary rule.
October 01, 2021
Supreme Court Aide Wins ACLI Capital RaceRep. Mike Gallagher was the fastest member of Congress.
October 01, 2021
Barred Broker Who Bankrupted BD Is Charged With Fraud: DOJThe broker's unauthorized speculative bond trading cost his employer and others over $30 million, according to the SEC and DOJ.
October 01, 2021
Supreme Court to Hear Ex-Ameriprise Advisor's Arb Case ChallengeAdvisor Denise Badgerow had alleged she was fired from Ameriprise affiliate REJ Properties in retaliation for reporting the conduct of REJ's principals.
October 01, 2021
LPL Failed to Vet Client, Allowed Fraudulent Wire Transfers: SECThe client misappropriated $3 million from a Puerto Rican city after opening an LPL account, the SEC says.
September 30, 2021
SEC Proposes New Disclosures on Asset Managers' Proxy VotesThe proposed rule would require mutual funds and ETFs to disclose fund votes on shareholder proxies.
September 30, 2021
Senator Warns SEC Chief Not to Crack Down on Trading AppsThe SEC's mission "does not extend to protecting investors from themselves," Sen. Pat Toomey writes.