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.
10 Classy Holiday Gifts for Clients Under $100
By Michael S. FischerThere are plenty of fun ways to both delight clients and comply with regulatory rules on gift giving.
November 19, 2020
What to Expect From the SEC Under BidenBiden will likely pick an SEC chair more in the vein of former SEC Chairwoman Mary Jo White than Jay Clayton.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 19, 2020
SEC Enacts Long-Awaited E-Signature RulesThe amendments include requiring electronic filing and service of documents in administrative proceedings.
November 18, 2020
FINRA Pushes Ahead With More Bad-Broker RulesOne of the rules would place new obligations on BDs whose records raise investor-protection concerns.
November 17, 2020
SEC Warns RIAs and BDs About Complex ETPsThe warning comes shortly after five BDs agreed to pay $3 million over unsuitable sales of these risky products.
November 17, 2020
'One Bad Rule After Another': Top Democrat Takes SEC's Clayton to Task"It doesn't seem like you have any way to tell if this rule will help at all," Sen. Sherrod Brown said of Reg BI.
November 17, 2020
Advisor Group, Cetera and Other BDs to Pay $3M Over Sales of Risky ETPsThe firms' reps made unsuitable recommendations of volatility-linked products, the SEC said.