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 Plans Retail Investor Fraud Roundtable
By Melanie WaddellThe discussion will focus on steps that can be taken to enhance ability of regulators and BDs to combat retail investor fraud.
September 17, 2018
IRS Extends Tax Deadlines for Those Affected by Hurricane Florence; Other Agencies Reach OutThe SEC also says it is monitoring the situation.
September 17, 2018
Group Blasts SEC's Proposed Whistleblower ChangesThe National Whistleblower Center says the changes are "radically anti-whistleblower" and mirror U.S. Chamber of Commerce's views.
September 14, 2018
Teacher Turned Advisor Sold Risky Securities to Teachers, Retirees: SECThe firm and its owner failed to disclose to clients that they stood to receive commissions of up to 18% from the sales.
September 14, 2018
SEC Uses Data Analysis to Bust Cherry-Picking Broker: EnforcementAlso, a broker-dealer must pay the SEC a $2.75 million penalty for providing deficient 'blue sheet data.'
September 13, 2018
Priest Bore False Witness to Reap Profits in His Hedge Fund, SEC SaysThe priest, who is also a hedge fund manager, is accused of making false statements to drive down a stock his fund was shorting.
September 13, 2018
SEC's New Customer Relationship Form Confuses Consumers: StudyIndependent testing shows investors may be misled by the SEC's proposed Form CRS, part of its best-interest proposal.
September 12, 2018
FINRA Releases FAQ on New Competency ExamThe exam changes take effect on Oct. 1.