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 Charges Funeral Financing Firm in $55 Million Ponzi Scheme: Enforcement
By Emily ZulzMeanwhile, an advisor whose website said he had "NEVER" faced a discliplinary complaint was charged with misleading clients.
July 25, 2018
CMS Moves to Save Individual Major Medical InsuranceTrump administration officials backed off from a chance to let the ACA framework collapse.
July 24, 2018
Fyre Festival Founder Settles Fraud Charges With SECThe founder of the failed music festival will pay more than $27 million in disgorgement.
July 24, 2018
SEC Nominee Roisman Would Keep 'Open Mind' on Best-Interest RuleAt Elad Roisman's nomination hearing, senators questioned him on how a fiduciary standard for brokers should be addressed.
July 23, 2018
'Raise Your Voice' Campaign Pushes for SEC Reg BI Changes"This [Reg BI] is just regulation gone wrong," said Sheryl Garrett, head of Garrett Financial Planning Network.
July 23, 2018
Deutsche Bank Units to Pay $75M to SEC Over ADRsThe units allowed pre-released ADRs to be used for "abusive practices," the SEC said.
July 20, 2018
Senate Dems Call SEC Reg BI 'Confusing,' Prod FINRA for AnswersSens. Warren, Brown and Booker say the rule is unlikely to "give investors the peace of mind they deserve."
July 20, 2018
SEC Charges Advisor Who Stole $3M From Clients: EnforcementIn another enforcement action, a former State Street Corp. exec was convicted of defrauding customers.