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.
SEC Votes to Restrict Shareholder Proposals
By Bernice NapachThe agency voted to raise the thresholds required for shareholders to submit proxy proposals.
September 23, 2020
Sizing Up the SEC Accredited Investor Definition ChangesWith certifications now a qualifying measure, debate ensues on which ones should be included.
September 23, 2020
Senators Warn SEC Against 'Detrimental' Whistleblower ChangesThe changes, which the SEC is voting on today, could deter whistleblowers and potentially cap awards, the senators say.
September 22, 2020
SEC's Peirce Says She'll Fight to Further Expand Accredited Investor DefinitionPeirce said she would advocate for more credentials to be added to the list.
September 22, 2020
FINRA Releases Exam Cheating Rule ProposalFINRA's plan seeks an expedited proceeding for brokers who cheat on exams; comments are due by Nov. 23.
September 22, 2020
Bogus Broker Busted by SEC for Bilking Air Force CadetsThe appliance installer agreed to pay $106,000 for allegedly scamming about 41 investors, the regulator says.
September 21, 2020
SEC Sets Vote for Controversial Whistleblower Rule ChangesLawyer Stephen Kohn has called the SEC's planned changes "radical."
September 21, 2020
Firm Bilked Clients of Nearly $1M Before Owner's Death: SECThe SEC is seeking disgorgement from the firm owner's estate.