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.
Crypto Company, CEO to Cough Up $400,000 to Settle SEC Fraud Case
By Jeff BermanThe firm made false statements to qualify for a Reg A+ offering, the SEC said.
January 03, 2020
FINRA Bars Brokers Who Wronged Elderly ClientsThe advisors then failed to cooperate with regulators' investigations into their behavior, FINRA says.
January 03, 2020
Kitces Is Confident That Lawsuits Will Squash Reg BIThe suit filed by Kitces' XY Planning Network is on track to be decided before the rule's June 30 compliance date.
January 02, 2020
SEC Asset Management Committee to Meet Jan. 14Meanwhile, comments are coming due on FINRA's plan to limit brokers as beneficiaries and pending arb claims.
December 31, 2019
TD Ameritrade Fined $250K for Options IssuesFirm allegedly mismarked some 1.5 million options orders sent to exchanges, resulting in about 500,000 mismarked orders.
December 30, 2019
Oppenheimer to Pay $4.7M Over Early UIT RolloversFINRA ordered the firm to pay a fine and restitution.
December 30, 2019
SEC Floats Easing Auditor Independence RulesThe goal is to "modernize" rules concerning affiliates of auditor clients, it says.
December 27, 2019
How the Fed's Policy Committee Will Change in 2020The four new members of the FOMC include two who were skeptical of recent rate cuts and one who preferred larger cuts.