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 Names Scott Anderson Head of Market Regulation
By Melanie WaddellAnderson joins FINRA on Jan. 25 from Societe Generale; he replaces Tom Gira, who passed away earlier this year.
December 10, 2020
IRS Q&A Helps Small Businesses Comply With Secure ActAdvisors should remind their retirement plan clients who are affected, Ed Slott says.
December 10, 2020
SEC to Vote on Long-Awaited Ad Rule Changes Next WeekIAA is pleased that the SEC will be able to adopt modernized rules before year-end, CEO Karen Barr said.
December 10, 2020
FINRA Seeks SEC OK for New CE RequirementsFINRA also wants approval for a new plan allowing individuals to challenge "statutory disqualification."
December 10, 2020
GE Puts SEC Long-Term Care Insurance Probe Behind ItGE agreed to pay a $200 million penalty, while the SEC consented to keep GE's reports on its controls nonpublic.
December 04, 2020
Wisconsin Securities Regulator Joins SEC Investor Advisory CommitteeThe committee added Leslie Van Buskirk and seven other members.
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.