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.
Ex-Broker Who Defrauded Older Clients Sentenced to Over 5 Years in Prison
By Jeff BermanThe former Mutual of Omaha rep was also ordered to pay restitution of $2.4 million to his victims.
June 09, 2021
SEC Chief Calls for Review of Stock Trading RulesGensler has asked staff for recommendations on best execution, Regulation NMS, payment for order flow and NBBO.
June 09, 2021
SEC Chief Gensler Appoints New Executive TeamAmanda Fischer, a Capitol Hill veteran who worked with Gensler during the Biden-Harris transition, will be his senior counselor.
June 08, 2021
A Reality Check on Biden's Tax, Infrastructure Plans From Schwab's Man in WashingtonSchwab's legislative and regulatory affairs representative, Mike Townsend, discusses how much of Biden's agenda he thinks is achievable.
June 08, 2021
Target Date Funds: A 'Time Bomb' in a Retirement Tool for the Masses?The GAO will investigate target date funds. What does that mean for the multitrillion-dollar industry?
June 07, 2021
FINRA Wants Regulatory CE Requirement Satisfied AnnuallyFINRA's proposal would also let brokers who are out of the industry keep their qualifications for longer if they fulfill CE requirements.
June 07, 2021
SEC Plans Hiring Push for Exams, Enforcement in 2022The SEC hopes to hire 65 people to cope with challenges like implementing Reg BI and examining the growing number of RIAs.