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.
Advisor Hunted by FBI Now Faces SEC Charges
By Jeff BermanThe advisor, missing since September, also faces a class-action suit and an IRS investigation.
November 13, 2020
Preet Bharara Floated as SEC Chief, Putting Wall Street on EdgeAnother candidate for the post, according to people familiar with the matter, is former SEC Commissioner Kara Stein.
November 11, 2020
FINRA Launches Targeted Exam of Fund Fee WaiversThe targeted exam was prompted by a June 4 settlement with Merrill Lynch.
November 10, 2020
The Advisory Industry in 2020: A SnapshotThe number of SEC-registered advisors grew almost 4% since 2019, an IAA and NRS report shows.
November 10, 2020
How New SEC Proxy Voting Rules Affect AdvisorsRevised amendments mean advisors who proxy vote or work with proxy advisors need to be careful.
November 10, 2020
Deciphering 'Best Interest' in Reg BIIndustry officials of all stripes continue to scratch their heads about the term as they attempt to comply.
November 10, 2020
SEC Continued With 'Vigor' Despite Pandemic: ClaytonThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.
November 06, 2020
FINRA Sets Sights on Registered Index-Linked AnnuitiesThese annuities have seen a significant jump this year, said FINRA CEO Cook.