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 Settles SEC Fraud, Reg BI Charges for $2M

December 10, 2024

Ex- Broker Settles SEC Fraud, Reg BI Charges for $2M
8 Pros and Cons of Mandatory Arbitration for RIAs

December 10, 2024

8 Pros and Cons of Mandatory Arbitration for RIAs
CEO Murder Suspect Was Ivy League Graduate Who Praised Unabomber

December 10, 2024

CEO Murder Suspect Was Ivy League Graduate Who Praised Unabomber
Number of CFP Exam-Takers Sets New High

December 10, 2024

Number of CFP Exam-Takers Sets New High
Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SEC

December 09, 2024

Morgan Stanley to Pay $15M Over Advisors Who Stole Millions From Clients: SEC
Trump's SEC Pick Criticized Bank Regulators' Efforts to Expand Scope

December 06, 2024

Trump's SEC Pick Criticized Bank Regulators' Efforts to Expand Scope
TD Suspends Growth Guidance in Wake of Historic Settlement

December 05, 2024

TD Suspends Growth Guidance in Wake of Historic Settlement