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 Mulls Loosening Some Regs on Startups, Small Firms
By Melanie WaddellAt issue is an accounting rule and some measures that could ease IPOs.
August 29, 2018
Browns Linebacker Kendricks Charged by SEC With Insider TradingThe SEC Enforcement Division said, "Kendricks paid cash and shared celebrity perks for illegal tips that enabled him to trade and profit on confidential information."
August 28, 2018
Moody's Fined $16M by SECThis marks the first time the SEC has filed an enforcement action involving rating symbol deficiencies.
August 28, 2018
FINRA Elects Three Governors to its BoardFSI is "pleased to see [Kovack will] spend another three years supporting the interests of our industry" and investors, said Dale Brown.
August 28, 2018
It's All About the BenjaminsA more aggressive stance by SEC examiners means advisors need to be prepared and able to respond to the questions below.
August 27, 2018
SEC Fines Legg Mason $34M in Libyan Bribery SchemeA former asset management unit with the firm partnered with a French bank to bribe Libyan government officials, the SEC said.
August 27, 2018
FINRA, Exchanges Set New CAT Schedule After Missing DeadlineFINRA and national securities exchanges have failed to begin reporting consolidated audit trail data as scheduled, SEC Trading and Markets chief Redfearn said.
August 27, 2018
SEC Orders Transamerica Affiliates to Repay $97M Over Rookie's Faulty Quant ModelsThe four affiliates launched the products and strategies "without first confirming that the models worked as intended," SEC said.