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.
Fight Over NJ Fiduciary Rule Heats Up
By Melanie WaddellNew Jersey's insistence on moving ahead "suggests an impatience and disregard" for the SEC's rulemaking, a lawyer said.
November 16, 2018
SEC Charges Operators of Boiler Room Scheme Targeting Seniors: EnforcementIn other actions, the wife of "Hamilton" ticket ponzi schemer ordered to pay back money.
November 15, 2018
SEC Whistleblower Office Sees Jump in Tips in 2018In its 40-page annual report to Congress, the agency's whistleblower office said that it paid awards totaling $168 million to 13 individuals in FY 2018.
November 14, 2018
IRS Crime Report Highlights High Conviction Rate Despite Dearth of AgentsFinancial crime has proliferated over the past few years and cybercrime looms large.
November 14, 2018
SEC Ruling Against Southridge CCO Could Have Chilling EffectThe SEC upheld sanctions levied by the Financial Industry Regulatory Authority against a chief compliance officer.
November 14, 2018
SEC's EtherDelta Decision Could Be Fodder for Court ActionsThe SEC's Nov. 8 ruling could prompt "a well-funded party" to ultimately challenge the SEC.
November 13, 2018
Former Treasury Official Campbell Joins Duff & PhelpsCampbell will advise the firm's clients on changes to financial policy, including tax reform and adjustments to Dodd-Frank.
November 11, 2018
SEC Sets Review of Company Rules for Shareholder InputThe SEC has set a time and date for a review of corporate democracy rules that promises to stir up trouble with investors who fear losing the influence…