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.
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July 30, 2020
Ex-Broker Charged With Bilking Retired San Antonio CopsA former advisor and his company scammed scores of investors out of more than $14 million, the SEC says.
July 29, 2020
SEC Creates New Emerging Threats Exam TeamThe new team, housed within the exam unit, "will proactively engage with financial firms about emerging threats and current market events."
July 29, 2020
IRS Issues Final Regs on Business Interest ExpensesThe regs include basic statutory amendments made by the CARES Act.
July 28, 2020
AIG Unit to Pay $40M Over 12b-1, Referral Fees Tied to Teacher Pensions"Too often educators are targeted with misconduct related to their investments," said SEC Chairman Jay Clayton.
July 27, 2020
SEC Slams Ex-Broker for Misappropriating $1.15M of Seniors' FundsThe former American Portfolios Financial Services rep deposited clients' money into his own account rather than invest it, the regulator said.
July 24, 2020
Analyst Busted With Exam Cheat Sheets in His Shorts: FINRAAnd he still failed his Series 79 exam, the regulator said.
July 23, 2020
Does New SEC Proxy Guidance Complicate Voting for Advisors?The agency passed new rules for proxy advisory firms, but also set down fiduciary instructions for advisors.