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.
Accredited Investor Definition, Custody Rule on SEC's 2020 Reg Agenda
By Melanie WaddellExpansion of the accredited investor definition is garnering mixed reviews.
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.
November 19, 2019
Ex-NFL Player Found Guilty of Defrauding Investors in Second TrialThe former Philadelphia Eagles linebacker's first conviction, with a 40-year prison sentence, was vacated on appeal and remanded to a lower court.
November 19, 2019
The NAIC May Talk to FINRA About YouIf so, NAIFA wants a chance to provide some perspective on that.
November 17, 2019
IRS Micro Captive Net May Snare Some Life ArrangementsA tax lawyer says seeing two layers of tax benefits tends to make the IRS unhappy.