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 Issues Relief to Fund Boards in Light of Coronavirus
By Melanie WaddellRelief extends to board meetings held from now to June 15, but that could be extended, SEC IM director Blass said.
March 04, 2020
SEC Targets One More Suspect in $345M SchemeThe SEC filed a subpoena enforcement action against another person believed to be involved in bilking pro athletes and advisors.
March 03, 2020
Advisors to Cough Up $564K for Undisclosed Conflicts of InterestIn separate actions, SEC charged two advisors over their connections to Aequitas Management.
March 02, 2020
Digging Into IRS' Secure Act RMD GuidanceWhile much of the new guidance is technical in nature, understanding what we don't yet know can be important to advising clients on important questions.
March 02, 2020
SEC Charges Bogus Brokers With FraudThe team made commissions totaling more than $3.5 million in securities offerings, the regulator says.
March 02, 2020
SEC Wants Feedback on Misleading Fund NamesSeveral fund types that muddy the naming waters, like ESG funds, have proliferated since the rule was enacted, the SEC says.
March 02, 2020
Advisors Sound Off on Wells Fargo's Big Inverse ETF FailureTweeted CFP Joshua Duvall: "If you can't understand it - you shouldn't be investing in it."
March 02, 2020
Regulations Will Be Biggest Shaper of Advice Industry: PollCoreData asked advisors what trends they were watching and how they planned to keep up.