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 Seeks Comments on Rule Requiring Complaints, Arb Claim Reports
By Melanie WaddellFINRA is seeking comments on which data BDs should be required to report.
January 10, 2020
Retail Investors Overwhelmingly Support Proposed SEC Proxy Changes: SurveyA market research group found that most of the SEC's proposed changes are supported by more than 70% of investors.
January 10, 2020
Human Capital: Brian Hamburger Details Critical Aspects of SEC's 2020 Exam PrioritiesIn episode #6 of our Human Capital podcast, Brian Hamburger, CEO of MarketCounsel, digs into the SEC and other enforcement issues.
January 10, 2020
FINRA's Top 5 Exam Priorities in 2020Reg BI and Form CRS compliance is Job No. 1. But it isn't the regulator's only focus.
January 09, 2020
SEC Wins Fraud Judgment Against Ex-Rep Who Defrauded 3 RetireesThe rep was accused of using client money to pay for a luxury car, a vacation and other expenses.
January 08, 2020
Defunct BD Sues FINRABlackBook Capital and its former president accuse the regulator of bias and libel.
January 07, 2020
FINRA Bars Brokers Accused of ForgeryThe advisors then failed to cooperate with regulators' investigations into their behavior, FINRA says.
January 06, 2020
Identity Theft Drops for Third Year in a Row: IRSIt credits an "aggressive" push involving interagency cooperation for the drop.