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.
Waters Says Shutdown Is 'Jeopardizing' Markets, Investors
By Melanie WaddellSEC's skeleton crew is hindering agency's ability to "hold bad actors accountable," Waters said on the House floor.
January 07, 2019
Ex-SEC IM Director: Help Your Clients Avoid a Personal Financial CrisisAdvisors should help clients "get in shape" and reduce debt, former SEC investment management Director Norm Champ tells ThinkAdvisor.
January 04, 2019
'Re-Regulation' Could Dampen Annuity Sales: Credit SuisseCredit Suisse analysts point to SEC, state fiduciary rules and an anticipated NAIC annuity sales suitability framework.
January 04, 2019
Former Wells Fargo Broker Indicted on 128 Felony Counts: Enforcement RoundupAlso, Lightyear Capital agreed to pay a $400,000 fine to the SEC for overcharging fund investors.
January 02, 2019
FINRA Seeks SEC Approval of Dispute Resolution RulesOne rule would prohibit compensated non-attorney representatives from practicing in the FINRA arbitration and mediation forum.
December 27, 2018
BD Fined $100K for Not Protecting Client DataThe violations took place over a five-year period, Massachusetts securities regulators say, and involved the use of a third-party CMS.
December 27, 2018
JPMorgan to Pay $135M for Mishandling ADRsThe improper activities took place from late 2011 to early 2015 and produced $71 million in revenue for the bank.
December 26, 2018
FINRA Hits Morgan Stanley With $10M Fine Over AML FailuresThe broker-dealer's anti-money laundering efforts did not meet Bank Secrecy Act requirements in three areas between 2011 and 2015.