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.
Advisors Force Wells Fargo Into FINRA Arbitration Over Loss of Business
By Jane Wollman RusoffThey face steep odds against the wirehouse, but if they succeed, the floodgates could open.
October 25, 2018
One-on-One With Schwab's Clark and EckelSchwab's head of advisor services Bernie Clark talks Reg BI, advocacy and more.
October 25, 2018
Insiders Go Deep on Midterm PredictionsBeyond the debate of what party takes what chamber, the midterms could mean more oversight on the SEC.
October 24, 2018
'Frack Master' to Serve 12 Years in Prison, Pay $23M to SECChristopher Faulkner took $23 million from investors to pay for gentlemen's clubs, escorts and other expenses, the SEC says.
October 24, 2018
Morgan Stanley Fight Shows How Firms Smear Exiting AdvisorsDale Cebert fought back and it cost him nearly $2 million in legal fees, but most advisors can't afford to clear their names.
October 24, 2018
DOL Places Renewed Focus on Fiduciary Compliance ProgramsLabor's EBSA says the tools will help "employee benefit plans to self-correct violations," and therefore protect employee benefits.
October 22, 2018
SEC Halts Trading in Nevada Firm Over False Crypto ClaimsThe company said it had partnered with an SEC-qualified custodian and that transactions would be done under SEC regulations.
October 22, 2018
FINRA's Amended CAB Rule to Be Implemented Nov. 19The rule change reflects FinCEN's adoption of a final rule on customer due diligence.