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.
Industry Needs Clarity on Reg BI: SEC Commissioners
By Melanie WaddellSEC Commissioner Allison Herren Lee is "staying riveted" on agency FAQs, as they are "early interpretations" and "potential enforcement attempts."
December 05, 2019
Human Capital: Investor Advocate Barbara Roper Doesn't Mince Words on SEC RulesIn Episode #5 of our Human Capital podcast, Roper tells what she thinks is wrong with Reg BI.
December 04, 2019
Securities Markets Face Multiple Challenges, Experts Warn at SEC ConferenceGary Cohn and others cited ongoing trade war, political uncertainty, climate change, cyber risk as main problems.
December 04, 2019
FINRA, Amazon Strike Cloud Deal for Market SurveillanceThe Consolidated Audit Trail processes about 100 billion market events each day at 22 stock exchanges and 1,500 broker-dealers.
December 03, 2019
Wife Took Out Husband's IRA Money, His Broker Was Kicked Out of JobFINRA suspends broker for "unauthorized transactions" after Morgan Stanley terminated him.
December 03, 2019
SEC's FAQ on Form CRS Draws Advisor ComplaintsRIAs and BDs are only allowed to prepare one Form CRS to explain multiple products and services.
December 02, 2019
SEC Names Littman to Head Cyber UnitLittman, who's served as senior advisor to SEC Chairman Jay Clayton since August 2017, succeeds Robert Cohen.
December 02, 2019
IRS Slashes Insurers' 2019 ACA Coverage Reporting BurdenEmployers may have to send out about as many 1095-C forms as they did for 2018.