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 Bad Broker Rule Would Hit Less Than 2% of Firms
By Melanie WaddellThe new rule proposal identifies firms "that have a cluster of brokers with a high level of misconduct," FINRA's Cook said.
May 14, 2019
FINRA Aims to Simplify Its Digital Interactions With FirmsThe transformation is to be implemented in stages through 2022 and is focused on six areas.
May 10, 2019
SEC Settles 'Unfriendly' Insider Trading Case: EnforcementAlso, Secretary Galvin charges broker-dealer over improper mutual fund sales.
May 09, 2019
FINRA Reminds BDs of Their Anti-Money Laundering DutiesIn Regulatory Notice 19-18, FINRA provides examples of money laundering red flags.
May 08, 2019
FINRA's Cook: SEC Reg BI Compliance to Be a Heavy LiftImplementing Reg BI and potential FINRA rulebook changes are top of mind; NASAA president weighs in on state fiduciary rules.
May 07, 2019
Former SEC Commissioner Stein Joins Investors Exchange BoardStein said she looks forward to helping IEX, the trading platform operator featured in Michael Lewis's book "Flash Boys," continue to improve market transparency for both public companies and investors."
May 06, 2019
New FINRA CAT Subsidiary to Develop Consolidated Audit TrailThe new subsidiary, FINRA CAT, was created after the contractor working on the system was fired.
May 03, 2019
SEC Plan to Limit Fund-of-Fund Redemptions Gets Heat From Fund IndustryThe planned restrictions "could harm funds of funds and their shareholders — including target-date funds," ICI's Stevens said.