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.
Senate Confirms Peirce, Crenshaw as SEC Commissioners
By Melanie WaddellThursday's vote ends the confirmation process, which began in June with their nominations by President Donald Trump.
August 05, 2020
Peirce, Crenshaw Get Senate Banking Committee Nod for SEC SeatsThe full Senate must now approve the two to be SEC commissioners.
August 04, 2020
FINRA Bars Ex-Hilliard Lyons Rep With Multiple Customer ComplaintsThe former broker refused to cooperate with an inquiry into his behavior, FINRA says.
August 04, 2020
Are You a 5-Star Advisor?Investor.com rates advisors for a fee while helping investors find one with a clean compliance record.
August 04, 2020
SEC Updates Indexed Annuity Investor BulletinThe revision appears to affect explanations of what happens when investment market indexes fall.
July 31, 2020
FINRA Issues FAQ on Virtual Business EntertainmentFor example, is it OK to provide food to clients to be eaten at a virtual gathering?
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."