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.
FINRA, Exchanges Prep for CAT Compliance Date
By Melanie WaddellCAT is "a complicated project that's a year behind schedule," FINRA CEO Robert Cook said.
November 02, 2018
SEC Brought More Advisor, BD Enforcement Actions in 2018The Securities and Exchange Commission brought 821 enforcement actions in fiscal 2018.
November 02, 2018
SEC Stops Broker's Ongoing Theft From Retirees: EnforcementThe broker used investors' money to pay for Super Bowl tickets and luxury vacations, the SEC said.
November 02, 2018
SEC Updates List of Fake Firms, RegulatorsThe so-called PAUSE list has been updated with eight bogus regulators, four "spoofers" of real firms and 16 soliciting entities.
November 02, 2018
How to Avoid the Dreaded 8210 Letter From FINRABeing proactive, and using technology, can help you avoid a full-on FINRA investigation.
November 01, 2018
IRS Raises 401(k), IRA Contribution Limits for 2019The IRA and Roth IRA contribution limit will be raised for the first time since 2013.
November 01, 2018
SEC's Clayton: Advice Standards Package Done by September, 'if Not Sooner'Clayton tells ThinkAdvisor that changes are also expected to Reg BI and Form CRS.
October 31, 2018
Fed Proposes Eased Rules for All but Biggest BanksThe Fed governors voted to separate megabanks from smaller, regional banks like U.S. Bancorp, Capital One and PNC Financial Services Group.