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 Appoints First Advocate for Small Business Capital Formation
By Melanie WaddellMartha Legg Miller to head up SEC's new Office of the Advocate for Small Business Capital Formation in new year.
December 21, 2018
SEC Charges Wealthfront, Hedgeable in Its First Robo ActionsThe regulator charged Wealthfront with making false statements and misleading ads and faulted Hedgeable's performance comparisons.
December 21, 2018
SEC Charges 13 More Unregistered Brokers Who Sold Woodbridge Securities to Investors: EnforcementThe SEC also sued an investment advisor for defrauding clients.
December 21, 2018
FINRA Issues Report on Best Cybersecurity PracticesThe group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.
December 20, 2018
SEC's 6 Compliance Exam Priorities for RIAs in 2019The SEC "will maintain its focus on critical market infrastructure and Main Street investors" in the year ahead, says Chairman Clayton.
December 20, 2018
SEC Credit Ratings Exam Report Details Compliance SnafusThe SEC found that at times, the NRSROs didn't stick to their own stated methodologies and criteria when determining ratings.
December 19, 2018
SEC Seeks Comments on Fund-of-Funds ChangesThe new rule would allow many fund-of-fund mutual funds and ETFs to go forward without exemptive relief from the commission.
December 18, 2018
Arizona BD Sues FINRA for 'Choking' Microcap MarketsFINRA wants to levy a $1.5 million fine against the firm in a microcap-related case.