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.
2019 IA25 Political Winners
By Melanie WaddellHere are this year's top vote getters in the field of politics, regulation and compliance.
April 26, 2019
FINRA Hits BD for Reps' Excessive and Unsuitable Trading: EnforcementIn another enforcement action, the SEC charged a sales assistant with taking funds from brokerage customers.
April 25, 2019
SEC Extends BDs' Compliance Deadline With Amended Reg NMSBroker-dealers told the agency they need more time beyond the May 20 deadline.
April 25, 2019
Here's How FINRA Spent Its 2018 Fine MoneyThe BD self-regulator shares for the second year projects supported by sanctions.
April 24, 2019
FINRA Launches New Fintech OfficeFINRA's Cook said that innovation poses new challenges for their members, and "it is essential that we as regulators keep pace."
April 22, 2019
FINRA Reminds BDs of Business Continuity, Disaster Recovery DutiesReg Notice 19-15 consolidates FINRA's designation criteria for BDs that must have such plans without change.
April 19, 2019
'Specificity' Advised for RIAs in Wake of SEC Self-Reporting InitiativeAttorneys discuss language used in Form ADV filings.
April 19, 2019
FINRA Bars Broker Who Lost Customers $3M Through Churning: EnforcementFINRA also fined Kestra for share class violations.