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.
Sen. Warren Presses FINRA on Broker Expungement Rule Revamp
By Melanie WaddellStudies show broker expungements "are often associated with broker misconduct" and recidivism, Warren says.
March 21, 2019
IRS' Top 12 Tax Scams to Avoid: 2019Technology helps the IRS catch offenders, but taxpayers still need to be wary.
March 21, 2019
FINRA's 2019 Budget Points to 'Day of Reckoning' Ahead: Ex-Enforcement ChiefFINRA says it could draw on its reserves to make up for a projected revenue shortfall.
March 20, 2019
New Law Firm 'Steeped' in SEC, FINRA Cases May Take on College Scam ClientsWhite-collar defense attorney Marc Mukasey announced the official launch of a boutique law firm, Mukasey Frenchman & Sklaroff LLP
March 19, 2019
House Panel to Debate Bill to Require Investor Testing by SECThe bill would require usability testing on the SEC's new disclosure forms before Reg BI is finalized.
March 19, 2019
FINRA Plans New Rules for Bad BrokersHow to deal with firms and brokers with a lot of black marks on their records has occupied a lot of FINRA board and policy discussions.
March 19, 2019
SEC Plans to Finalize ETF, Fund of Funds Rules in 2019: IM ChiefHere's what the SEC's investment management unit is focusing on this year, according to its director, Dalia Blass.
March 19, 2019
Ex-SEC Commissioner Piwowar Tapped by Electronic Market MakerPiwowar will provide electronic market maker GTS with legislative and regulatory advice.