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.
SEC Fires Off Warning on Privacy Regulation
By Melanie WaddellOCIE sets out violations of Reg S-P that have shown up in recent exams.
April 15, 2019
FINRA Bond Sale Reporting Change Might Help Life InsurersInvestment mangers at Voya and Allianz' Pimco unit are some of the experts looking at the proposal.
April 15, 2019
FINRA Clarifies How BDs Should Handle Departing Rep InformationBut the notice is vague on whether BDs must tell clients a rep was fired, a lawyers' group says.
April 12, 2019
Woodbridge Execs Arrested in $1.2B Ponzi SchemeMany of the 8,400 investors were seniors; the firm's holdings included homes of celebrities.
April 12, 2019
Ex-Radio Host Craig Carton Sentenced to Prison in 'Hamilton' Ticket Scheme: EnforcementMeanwhile, a lawyer for SeaWorld was charged with insider trading.
April 09, 2019
SEC OKs a Nontransparent Active ETF Strategy, but Will Investors Care?The approval could pave the way for an influx of such ETFs, but industry analysts aren't convinced about investor demand.
April 09, 2019
House Passes Bill to Redesign IRSThe bipartisan bill overhauls the IRS' tools of enforcement but also forbids it from competing with private tax-prep services.
April 08, 2019
SEC 'Still Struggling' With Advisor Exam RateBut OCIE is "pushing forward on our priorities," exam chief Pete Driscoll says.