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 Charges Advisor With Scamming Elderly Out of Millions: Enforcement
By Emily ZulzIn another SEC action, Citibank N.A. agreed to pay $38.7 million to settle charges of improper handling of 'pre-released' ADRs.
November 06, 2018
FINRA, Exchanges Prep for CAT Compliance DateCAT is "a complicated project that's a year behind schedule," FINRA CEO Robert Cook said.
November 06, 2018
FINRA Updates eFOCUS Report RequirementsThe updated electronic filing system incorporates new amendments for reported income issued by the SEC.
November 05, 2018
If House Flips, SEC Advice Standards Package Likely to Face ScrutinyExpect continued gridlock, "with only a few issues like infrastructure likely to move in 2019," predicts Horizon's Valliere.
November 02, 2018
SEC Brought More Advisor, BD Enforcement Actions in 2018The Securities and Exchange Commission brought 821 enforcement actions in fiscal 2018.
November 02, 2018
SEC Stops Broker's Ongoing Theft From Retirees: EnforcementThe broker used investors' money to pay for Super Bowl tickets and luxury vacations, the SEC said.
November 02, 2018
SEC Updates List of Fake Firms, RegulatorsThe so-called PAUSE list has been updated with eight bogus regulators, four "spoofers" of real firms and 16 soliciting entities.
November 02, 2018
How to Avoid the Dreaded 8210 Letter From FINRABeing proactive, and using technology, can help you avoid a full-on FINRA investigation.