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.
Tom Gira, FINRA's Head of Market Regulation, Dies
By Melanie Waddell"Tom was a beloved and devoted husband and father, as well as a tremendous leader," said FINRA CEO Robert Cook.
June 22, 2020
FINRA Amends Suitability, CAB Rules to Align With Reg BIThe changes clarify standards and inconsistencies with Reg BI, and are effective June 30.
June 21, 2020
Trump Fires U.S. Attorney, Names Clayton as SuccessorGeoffrey Berman agreed to leave his position after he was temporarily replaced by his deputy Audrey Strauss.
June 20, 2020
Barr Taps SEC's Clayton to Replace U.S. Attorney Who Refuses to ResignGeoffrey Berman, the U.S. attorney for the Southern District of New York, has led investigations into Trump associates.
June 19, 2020
Uncertain Summer Childcare Means Employers Should Check COVID-19 Leave LawBusinesses may face complications when employees request paid leave to care for children who might be home for summer.
June 18, 2020
CCO Hit by FINRA for Business Email InfractionsThe FINRA actions shows the importance of retaining electronic communications, Eversheds Sutherland attorneys write.
June 18, 2020
Trump Nominates Crenshaw as SEC CommissionerTrump says he intends to nominate Caroline Crenshaw to fill the Democratic seat.
June 18, 2020
FINRA Moves Ahead on New Exam Cheating RulesFINRA is also overhauling its enforcement technology platform.