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 Enacts Long-Awaited E-Signature Rules
By Melanie WaddellThe amendments include requiring electronic filing and service of documents in administrative proceedings.
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.
November 16, 2020
Advisor Hunted by FBI Now Faces SEC ChargesThe advisor, missing since September, also faces a class-action suit and an IRS investigation.
November 16, 2020
SEC Chairman Clayton to Step DownClayton advanced more than 65 final rules, including his signature Regulation Best Interest.
November 13, 2020
Human Capital: IAA's Karen Barr on SEC Rules Nearing the Finish LineIn this episode, we talk with the IAA president and CEO about changes to the SEC's custody rule and others that advisors should know about.
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.