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 Orders Investment Firm Owner to Pay $1.2M Over Ponzi Scheme
By Jeff BermanAMV Investments owner Ann M. Vick fraudulently raised about $3.2 million from almost two dozen investors, the SEC alleges.
October 27, 2021
PPP Loan Forgiveness Was Denied. Can You Appeal?Small-business clients unhappy with how their PPP loans have been treated may have the option of appealing the decision.
October 27, 2021
Stock Trader Charged With Securities Fraud in Twitter Pump-and-Dump SchemeThe Ohio stock promoter used the social network for his over-the-counter penny stock scam, DOJ and SEC allege in separate actions.
October 27, 2021
Unit Formerly Known as Wells Fargo Asset Management Snags Another State Street ExecChris Baker is exiting the Boston-based asset manager to serve as chief compliance officer of the firm, now called Allspring.
October 27, 2021
Why the SEC Has Its Eyes on AdvisorsIt's smart to go beyond a written program and implement multi-factor authentication.
October 26, 2021
SEC Risk Alert Highlights Flawed Disclosures by ETFs, Mutual FundsFunds had inaccurate or omitted disclosures on matters like fees, investment strategies and fund performance.
October 25, 2021
Trendspotter: Advisor Movement From State to SEC Registration Is SurgingAs markets and the demand for fiduciary advice have grown, more firms have had to take this step, compliance pros say.
October 25, 2021
DOL Extends Fiduciary Rule Compliance Date, Including Rollover AdviceLabor extended the non-enforcement policy on its fiduciary rule to Jan. 31.