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.
How Is Trump's Deregulatory Push Going?
By Melanie WaddellTrump boasts of surpassing his regulation-cutting goal, but an economist says the numbers shouldn't be taken "at face value."
February 24, 2020
IRS Readies for Tax TimeGuidance on the Secure Act and new identity theft protection measures unveiled as tax filing season gets underway.
February 21, 2020
Wells Fargo to Pay $3B to DOJ, SEC Over Fake AccountsThe bank was charged with fraud and misleading investors about its cross-selling results from 2002 to 2016.
February 21, 2020
FINRA Bars Ex-Fidelity Rep Who Refused to TestifyThe broker was terminated for alleged personal trading and related conduct involving a penny stock.
February 21, 2020
FINRA Launches Exam Sweep of No-Commission BDs"FINRA is conducting the targeted examinations with a variety of firms," a spokesperson said Friday morning.
February 21, 2020
Human Capital: Stradley Ronon's Gerstein Dissects State Fiduciary Rule RaceIn episode #9 of our Human Capital podcast, George Michael Gerstein tell us the latest on where the states' fiduciary rules stand.
February 20, 2020
FINRA Bars Ex-Rep Who Took Money From ClientsThe broker told clients he was investing their money in a celebrity brand marketing company, FINRA said.
February 20, 2020
FINRA Orders Pershing to Pay $5.6M to More Stanford VictimsThe claimants accused Pershing of aiding and abetting Sanford's multibillion-dollar fraud.