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.
DOL Continues Aggressive Enforcement Pace in 2019
By Melanie WaddellThe benefit's unit's activity reflects "nearly $1 billion more in recoveries than 2018," an ERISA attorney says.
November 21, 2019
Accredited Investor Definition, Custody Rule on SEC's 2020 Reg AgendaExpansion of the accredited investor definition is garnering mixed reviews.
November 21, 2019
FINRA Suspends Ex-Baird Broker Over $200K in Unapproved TransactionsIn addition to a 5-month suspension, the broker has been slapped with a $10,000 fine.
November 20, 2019
FINRA Bars Ex-Merrill Rep for Taking Co-Worker's MoneyAn ex-associate in Seattle allegedly took $24,000 from a co-worker to use for her own expenses.
November 20, 2019
SEC Disgorgement Bill, Passed in House, Could Affect Supreme Court CaseThe bill codifies the SEC's power to order disgorgement, an issue the court is considering.
November 19, 2019
SEC Freezes Assets in $6M Ponzi SchemeThe scam targeted seniors and small-business owners worldwide.
November 19, 2019
SEC Chairman Cites Fishy Letters in Support of Proxy Policy ChangeLetters he brought up at a recent meeting were not from regular folks but from a misleading, and clumsy, PR campaign.
November 19, 2019
SEC Chairman Wants to Know: 'Have We Preserved Choice' in Reg BI?Clayton told attendees at SIFMA's annual meeting that he encourages the industry to ask questions about Reg BI implementation.