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 Points Out Common Mistakes for Firms to Avoid
By Jeff BermanSenior staffers provided tips at the regulator's institutional conference.
September 10, 2019
8 Attorneys General Sue SEC Over Reg BIThe first lawsuit against Reg BI argues that it fails to institute a uniform fiduciary standard and goes against Dodd-Frank.
September 09, 2019
SEC's Clayton Still Troubled by Potential Manipulation of Bitcoin PricesIn a speech before the Economic Club of New York, Clayton also talked about swelling corporate debt, the end of Libor and Brexit.
September 08, 2019
Client, 1; Wells Fargo, 0: Wirehouse Loses in Nevada Fiduciary CaseAn investor cites the state's recent fiduciary rule in her complaint before FINRA — and the ruling goes her way.
September 06, 2019
IRS Offers Relief to Ex-Citizens Who Owe TaxesThe relief is only extended to some expatriated individuals, not estates, trusts or corporations.
September 06, 2019
'Regulation by Enforcement' Battle Reaches Full TiltFSI is fighting the SEC's Share Class Selection Disclosure Initiative; others are more supportive.
September 06, 2019
Should SEC Resurrect Broad Punishments for Companies That Talk to Analysts?An August SEC Reg FD action could signal a resurgence of cases under the controversial rule and a re-examination of its constitutionality.
September 06, 2019
SEC Shuts Down $300M California Alcohol License Loan SchemeThe San Diego-based firm and its principal defrauded 50 retail investors, the SEC says.