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.
Wells Fargo Agrees to $5M SEC Settlement
By Janet LevauxThe regulatory group says the misconduct was tied to sales of market-linked investments, or MLIs, from 2009 to 2013.
June 22, 2018
Treasury Official Calls for a New Regulatory Approach for FintechCraig Phillips told a SIFMA conference that this new approach would permit "experimentation for services and processes."
June 22, 2018
FINRA Bars Ex-LPL Rep for Taking Client Money to Pay Her Taxes: EnforcementIn other enforcement actions, the CFTC ordered JPMorgan Chase Bank to pay a $65 million penalty.
June 21, 2018
SEC's Clayton: Comment Period on Advice Standards May Be ExtendedHouse lawmakers questioned Clayton about the SEC's proposed best-interest rules.
June 21, 2018
Indexed Annuities Star in 5th Circuit DOL Fiduciary Rule OpinionThe ruling has (probably) killed the rule dead.
June 21, 2018
Wait for ETF Rule Is Over as SEC Slates Discussion for June 28The rule would let asset managers sell certain ETFs without first getting SEC approval under the Investment Company Act of 1940.
June 21, 2018
5th Circuit Issues Order to Kill DOL Fiduciary RuleU.S. Appeals Court for the 5th Circuit cited groups' objections on "multiple grounds" to Labor's fiduciary rule.
June 21, 2018
Winning the Talent Wars Key Among SEC's GoalsThe SEC is seeking to shore up its performance with new hires.