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 Hits BD for Reps' Excessive and Unsuitable Trading: Enforcement
By Emily ZulzIn another enforcement action, the SEC charged a sales assistant with taking funds from brokerage customers.
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.
April 17, 2019
IRS Releases New Round of Regs for Opportunity Zone FundsThe latest regs are the most substantive to date and are expected to be the catalyst that unleashes investments in these funds.
April 17, 2019
SEC, FINRA Plan Compliance Outreach Seminar for BDsThe program is to be held June 27 in Chicago and will focus on protecting retail investors, digital assets, cybersecurity and anti-money laundering.
April 17, 2019
FINRA E-Signatures Rule Gets SEC NodFINRA will permit the use of electronic signatures for discretionary accounts, effective May 6.