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.
Chamber Wants Regulators to Update Their Fintech Policies
By Melanie WaddellChamber's new FinTech Innovation Initiative will help inform policymakers about new products and services in the fintech space.
July 13, 2018
SEC Charges Firms That Used 'Squeaky Clean' Testimonial Service: EnforcementThe marketing firm advertised the testimonial program as "100% compliant."
July 13, 2018
Cloud Storage Helps FINRA Process 'Unprecedented' Amount of Market Activity"Our staff has access to petabytes of data in seconds or minutes," FINRA's tech chief says.
July 13, 2018
To the Fiduciaries Go the SpoilsIn the post-DOL rule world, fiduciary relationships can be the key to becoming an asset-gathering powerhouse.
July 12, 2018
JPMorgan Whistleblower Gets Record $30M From CFTCThe case was settled in December 2015, when the bank agreed to pay $367 million for not disclosing that it was steering asset-management clients into investments that would be especially profitable to the company.
July 11, 2018
House Panel Passes Bill to Help Ease SEC Rules on Small FirmsThe Panel also passed a bill requiring SEC to set up a senior investor task force.
July 11, 2018
Kavanaugh Reveals Modest Assets, but His Net Worth May Be HigherDisclosure of federal retirement plan assets isn't required; Kavanaugh spent most of his career in the federal government.
July 10, 2018
Some Commenters Tell the SEC They Still See Annuity ProblemsYou may think there's already enough oversight. Some consumers, and some financial professionals, disagree.