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.
Film Distributor 'Raided Millions' From BlackRock Trust: SEC
By Melanie WaddellFounder of Aviron Pictures used close to $14 million on a luxury car and mansion in Beverly Hills.
May 21, 2020
FINRA Suspends Ex-Merrill Rep Over Pro Video Game TeamThe advisor "realizes he made a mistake" and "appreciates FINRA's fairness," his lawyer says.
May 21, 2020
Pandemic Shows Business Needs Less Regulation and More OversightWhat's the difference? Let's take a look at the SEC and FINRA.
May 20, 2020
FINRA Legal Chief Clarifies Suitability Rule Status After Reg BIFINRA is also mulling getting rid of manual signatures, Chief Legal Officer Robert Colby says.
May 20, 2020
Trump Orders Regulators to Cut Back Amid PandemicUnder the order, agencies like the SEC must review regulations that may "inhibit economic recovery."
May 19, 2020
SEC Reg BI, Form CRS Exams to Start in JulyFirms should prepare for some standalone Reg BI and Form CRS exams as well as regular exams, said SEC's Polise.
May 18, 2020
FINRA Gives Warning on Oil-Linked ETPsThe watchdog said these products should not be sold by or to someone who doesn't understand their inherent risks.
May 15, 2020
Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP LoansLundy, based in Chicago, co-leads Faegre Drinker's Reg BI Compliance team as well as internal investigations.