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.
Supreme Court Nominee Helped Kill Merrill Lynch Rule
By Melanie WaddellIn 2007, Brett Kavanaugh agreed with the FPA in its fight against the SEC.
July 09, 2018
FINRA Wants Info on BDs' Digital Asset ActivityIn a just-released Reg Notice, FINRA wants BDs to "promptly notify" the self-regulator.
July 05, 2018
SEC Charges Firm That Failed to Supervise Brokers: EnforcementIn another SEC action, two men were charged with illegal sales of stock of a company claiming to have a blockchain-related business.
July 05, 2018
FINRA to Take Over Review of Public Records for Broker HiresBeginning July 9, FINRA will verify information provided by candidates for brokerage or investment advisor jobs, saving BDs time and money.
July 03, 2018
Blockchain's Latest Twist: Digitizing Company SharesA hedge fund turns paper shares in a cloud storage company into digital tokens.
July 03, 2018
Here's How Much FINRA Execs Were Paid in 2017Total executive compensation is down slightly from a year earlier, FINRA reports.
July 03, 2018
Schwab Settles SEC Suit on Reporting FailureSchwab was charged with failing to file reports on suspicious transactions by 37 independent investment advisors.
June 29, 2018
SEC Hits the Road to Hear Investors' Thoughts on Best-Interest PlanChairman Jay Clayton will be holding a series of roundtable discussions with investors around the country in July.