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 Bars and Fines Rep for Taking Money From a Client: Enforcement
By Emily ZulzAlso, FINRA fined Cetera Advisor Networks for failing to respond to red flags of mutual fund switching.
February 20, 2019
Fed Officials Want to End Unwinding of Balance Sheet Assets: MinutesThe minutes explain a dovish Fed turn in January as markets wobbled.
February 20, 2019
SEC Reviews Bitwise Bitcoin ETFNYSE Arca is proposing a rule change to facilitate the trading of the Bitwise Bitcoin ETF Trust.
February 19, 2019
Please Harmonize With SEC Reg BI: Insurance Groups to NAICIRI is praising the SEC's approach. Three other groups told the NAIC they want a buffer against state fiduciary rule proposals.
February 15, 2019
Execs Face Up to 5 Years in Prison for Lying to SEC: EnforcementMeanwhile, the SEC canceled the registration of an internet-based RIA who failed for three years to launch a website.
February 14, 2019
FINRA Warns of BD Phishing ScamBDs reported receiving suspicious emails from a purported compliance officer working at what appears to be a legitimate credit union.
February 12, 2019
IRS Enters Tax Season 'Inundated,' Says Taxpayer AdvocateThe IRS was already struggling with a heavy workload and aging technology. Then the shutdown hit.
February 12, 2019
SEC's Peirce on Reg BI: 'It's Important That We Move Forward'At a Bipartisan Policy Center event, Peirce also cautions about the SEC's stance on Bitcoin ETF approval.