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 Approves FINRA Arbitrator Honorarium Changes
By Melanie WaddellFINRA will pay each arbitrator an honorarium of $200 to decide, without a hearing session, three types of cases.
December 10, 2018
SEC Chair Clayton Lays Out 2019 Regulatory PrioritiesA "key priority" for the securities regulator is finalizing advice standards package, Clayton says.
December 07, 2018
Ron Carson's Registration Drop Shows 'FINRA's Days Are Numbered'"FINRA is still losing BDs," consultant Tim Welsh says. "No one is starting them. It's not happening."
December 07, 2018
FINRA Exam Report: 5 Big Problem Areas for Brokers in 2018The regulator zooms in on sales of variable annuities and volatility-linked products, among other areas.
December 07, 2018
Senators Hear Views on Proxy Voting ReformThe consensus "is that the proxy infrastructure is broken and in need of urgent attention," said IAA's Karen Barr.
December 07, 2018
SEC Charges Owner of Trading Website With Binary Options FraudAlso, the SEC charged a CPA, a broker and his wife with fraud involving a shell company.
December 06, 2018
SIFMA Sees Slowing Growth, SEC Best-Interest Rules Coming in 2019The best-interest regs will probably be clarified in the first half of next year, SIFMA says.
December 05, 2018
SEC Custody Rule Up for ReviewCommenters will likely request that the rule be scaled back in certain respects, said attorney Cliff Kirsch.