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.
Google Reviews Are the New Client Referrals: Samantha Russell
By Jeff BermanThe new Google Screened "could be a huge game changer" under the new SEC ad rule, she says.
November 23, 2021
Beware of DOL Prohibited TransactionsAdvisory fiduciaries need to avoid the minefield of specific ERISA and IRC customer protection rules.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 22, 2021
SEC Charges Ex-Janney Rep With Running $9.6M Market Manipulation SchemeThe former broker allegedly used 18 securities accounts at 14 brokerage firms to artificially influence the market prices of 2,000-plus securities.
November 19, 2021
FINRA: Ex-Edward Jones Rep Made Over 800 Unauthorized TradesFINRA suspended and fined the former broker, saying he also falsely identified himself as a senior vice president of a clearing firm.
November 19, 2021
SEC Fines Jumped by a Third in 2021The SEC levied more than $1.4 billion in penalties in fiscal 2021 and filed 7% more new enforcement actions than a year ago.
November 18, 2021
SEC Bars Stock Trading Webcast Host Over Pump-and-Dump SchemeThe SEC and DOJ previously charged him with securities fraud in separate actions.
November 17, 2021
FINRA Makes Big Adjustments to CE RulesThose registered with FINRA must now complete continuing education requirements yearly instead of every three years.