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.
Fidelity's National Financial Services to Pay $2.5M to Settle SEC Charges
By Jeff BermanThe firm and FuelCell Energy failed to deliver final prospectuses to stock investors, the regulator said.
September 08, 2020
SEC Fines Ex-Stifel Rep Charged With Scamming Elderly WidowThe rep was accused of misappropriating funds for his Colorado vacation home, according to the SEC complaint.
September 08, 2020
CFA Counsel Hauptman Joins SEC Commissioner Crenshaw's Office"Commissioner Crenshaw is getting one of the most talented, dedicated, thoughtful staffers around," Barbara Roper tweeted.
September 04, 2020
FINRA Bars Ex-Merrill Rep Who Refused to Cooperate With ProbeThe former broker declined to provide documents and info requested as part of an investigation, FINRA says.
September 04, 2020
Human Capital: Lawyer Nick Morgan on Accredited Investor Rule ChangesIn this episode, we talk with Paul Hastings partner Nick Morgan, who discusses the changes and their potential risks.
September 04, 2020
Ex-Merrill Rep Indicted; Accused of Bilking Pastors, ChurchgoersThe former broker has been indicted on six counts of mail fraud and one count of securities fraud.
September 04, 2020
Life Industry Reps Try to Speed Shape DOL Rollover Standards DraftThe department's EBSA branch kept a hearing on proposal short.
September 03, 2020
DOL to Move Ahead on Fiduciary Plan Despite CriticismLabor says it won't hold a second hearing or reopen comments; critics say it should wait and see how Reg BI plays out.