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 Operators of Boiler Room Scheme Targeting Seniors: Enforcement
By Emily ZulzIn other actions, the wife of "Hamilton" ticket ponzi schemer ordered to pay back money.
November 14, 2018
SEC Ruling Against Southridge CCO Could Have Chilling EffectThe SEC upheld sanctions levied by the Financial Industry Regulatory Authority against a chief compliance officer.
November 14, 2018
SEC's EtherDelta Decision Could Be Fodder for Court ActionsThe SEC's Nov. 8 ruling could prompt "a well-funded party" to ultimately challenge the SEC.
November 13, 2018
Former Treasury Official Campbell Joins Duff & PhelpsCampbell will advise the firm's clients on changes to financial policy, including tax reform and adjustments to Dodd-Frank.
November 11, 2018
SEC Sets Review of Company Rules for Shareholder InputThe SEC has set a time and date for a review of corporate democracy rules that promises to stir up trouble with investors who fear losing the influence…
November 09, 2018
SEC Charges Advisor With Scamming Elderly Out of Millions: EnforcementIn another SEC action, Citibank N.A. agreed to pay $38.7 million to settle charges of improper handling of 'pre-released' ADRs.
November 08, 2018
SEC Settles With EtherDelta for Operating Unregistered ExchangeThis is the SEC's first of this type of enforcement action against a digital token trading platform.
November 07, 2018
SEC Releases Investor Testing Report on Form CRSHere's what investors think about the proposed Customer Relationship Summary.