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.
FINRA Names Consolidated Exam Team
By Melanie WaddellFINRA's three exam functions have been consolidated into a single, unified program.
December 12, 2019
Sen. Warren: DOL Fiduciary Rule That Copies Reg BI Is a 'Costly Mistake'Warren warned Labor Secretary Eugene Scalia not to propose a weak rule.
December 12, 2019
SEC to Take Up Accredited Investor Definition Changes on Dec. 18The SEC will vote on whether to consider updates to the definition.
December 10, 2019
Ex-Congressman, Others Settle With SEC Over Insider TradingAs a result, former Rep. Christopher Collins will be barred from acting as an officer or director of any public company.
December 09, 2019
Another Broker Impersonated Clients … 6 of Them. FINRA Wasn't Pleased.FINRA suspended and fined the former Investacorp rep after he impersonated customers in calls to Nationwide.
December 09, 2019
Troubled Atlanta BD Shuts DownThe news comes four months after it had "substantial losses" from unauthorized bond trades.
December 06, 2019
FINRA Bars Broker Who Hid Personal Financial ProblemsThe rep failed to provide documents and info FINRA requested during an investigation.
December 06, 2019
Ex-Raymond James Rep Suspended After Violating Trading RulesThe broker made securities transactions in his own account after becoming privy to confidential info, FINRA says.