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 Will Reimburse Retail Investors Hurt by Leveraged Oil Note
By Carolina WilsonBroker-dealer Cadaret Grant recommended inappropriate investments, regulators say, and will pay $500,000 penalty plus disgorgement, interest.
September 11, 2018
AI In Wealth Management Is Looking More and More Inevitable: AiteAI will gain momentum over the next three years, Aite predicts.
September 10, 2018
4 Regtech Challenges for BDs to Watch For: FINRAA new buzzword — suptech, or supervisory technology — is also coming into play.
September 10, 2018
Death of DOL Fiduciary Rule Is a Boon to Investment Cos.: StudyUnder the Obama-era rule, 36 investment companies lost $14 billion in market capitalization, a new paper asserts.
September 10, 2018
SEC Charges 2 Brokers With Fraud Over Excessive TradingOne broker's strategy would have to return 21% to 406% annually just to cover trading costs, the SEC said.
September 07, 2018
SEC Fines Ex-Raymond James Branch Manager for Role in EB-5 Fraud: EnforcementAlso, the SEC charged two men for using oil-and-gas investors' money for vacations and dating websites.
September 05, 2018
Senate Banking Counsel Roisman Confirmed as SEC CommissionerRoisman was confirmed by an 85–14 vote.
September 04, 2018
Finra Proposes Higher Position Limits for ETF Options ContractsNine ETF index options contracts have been selected for a doubling of position limits if SEC approves FINRA's proposal.