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.
FINRA Seeks SEC OK for New CE Requirements
By Melanie WaddellFINRA also wants approval for a new plan allowing individuals to challenge "statutory disqualification."
December 03, 2020
FINRA Suspends Ex-Morgan Stanley Rep Who Took Client Info to New FirmThe rep was suspended for 10 days and fined $5,000 for alleged actions when leaving to join Raymond James.
December 02, 2020
Advisor Barred, Coughs Up $1M for Misleading ClientsCalifornia advisor was accused of concealing conflicts of interest from clients while persuading them to invest some $3 million with his companies.
December 02, 2020
Supreme Court Hears Arguments in Captive Insurer CaseThe outcome could affect how the IRS sets rules.
December 01, 2020
CFP Board Taps Ex-SEC Official for New Enforcement RoleThomas Sporkin will soon lead attorneys and legal staff in modernizing the group's detection, investigation and prosecution activities.
December 01, 2020
Agencies to Banks: Be Ready for Libor's EndOne-week and two-month U.S. dollar-denominated Libor rates are expected to cease publication at end of the year.
December 01, 2020
Kraninger Attempting to Keep Imprint on CFPB Even if She Is FiredThe CFPB makes a major policy move this week in finalizing its new "Advisory Opinions Policy" plan.
November 27, 2020
Trump Nominates a Top Bank Regulator as Biden Starts TransitionSenate Banking Committee Chair Mike Crapo has signaled Brian Brooks would get a confirmation hearing for a five-year term leading the Office of the Comptroller of the Currency.