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.
Trade Groups Urge Maryland Lawmakers to Wait for SEC Reg BI
By Melanie WaddellFSI has "serious concerns" about the state fiduciary proposal, President and CEO Dale Brown said.
March 11, 2019
Advisors to Return $125M in 12b-1 Fees Under SEC Share Class InitiativeMore than 70 advisors self-reported that they improperly sold clients mutual fund shares with 12b-1 fees.
March 08, 2019
BB&T to Return More Than $5M to Retail Investors and Pay Fine: EnforcementAlso, a broker who was charged with unsuitable and unauthorized trades is fined and barred by the SEC.
March 08, 2019
Clayton: SEC Plans to Update Equity Market Rules This YearThe plans address issues raised in a series of roundtables with market participants and investors last year.
March 07, 2019
Advisor Exam Rate Likely to Drop in 2019: SECOCIE Deputy Director Dan Kahl told advisors Thursday to "take a look at your Reg SP" policies and procedures.
March 07, 2019
IRS Warns Taxpayers, Pros to Beware of Identity TheftThe IRS has made inroads against this scam in recent years, it says, but new cons keep proliferating.
March 06, 2019
FINRA Releases FAQ on 529 Plan Share Class Initiative, Extends Compliance DeadlinesThe regulator wants to allow firms sufficient time to consider the new guidance on its self-reporting program.
March 06, 2019
Rep. Waters Comments on SEC's Regulation Best InterestShe discussed the proposal at a briefing on the Consumers First Act, a bill to "reverse damage" to the CFPB.