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.
One-on-One With Schwab's Clark and Eckel
By Melanie WaddellSchwab's head of advisor services Bernie Clark talks Reg BI, advocacy and more.
October 24, 2018
Morgan Stanley Fight Shows How Firms Smear Exiting AdvisorsDale Cebert fought back and it cost him nearly $2 million in legal fees, but most advisors can't afford to clear their names.
October 24, 2018
DOL Places Renewed Focus on Fiduciary Compliance ProgramsLabor's EBSA says the tools will help "employee benefit plans to self-correct violations," and therefore protect employee benefits.
October 22, 2018
SEC Halts Trading in Nevada Firm Over False Crypto ClaimsThe company said it had partnered with an SEC-qualified custodian and that transactions would be done under SEC regulations.
October 22, 2018
FINRA's Amended CAB Rule to Be Implemented Nov. 19The rule change reflects FinCEN's adoption of a final rule on customer due diligence.
October 19, 2018
2 Common Email Spoofing Scams to Avoid: SECThe SEC made an example of nine firms that lost a total of $100 million to email fraudsters.
October 19, 2018
'Myth-Busting' Ex-Advisor Convicted of Fraud, Spent Investor Funds on Hindu Prayers: EnforcementAlso, FINRA barred a broker for recommending a charitable gift annuity that had hefty commissions.
October 18, 2018
SEC Launches FinHub PortalThe new fintech hub provides one-stop information on digital marketplaces, automated investment, blockchain and AI.