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.
How to Tell if a Broker Is Selling Unapproved Investments
By Melanie WaddellThe SEC lists signs that a broker may be running a side business offering investments that are not approved for sale.
June 13, 2018
FSI Backs Securities America's Nagengast for Large Firm FINRA Board SeatCEO Nagengast and Shelley O'Connor, co-head of Morgan Stanley Wealth Management, are running to fill the large firm governor's seat.
June 12, 2018
Merrill Hit With $15M SEC Penalty Over RMBS InfractionsMerrill misled customers into overpaying for residential mortgage-backed securities, the SEC says.
June 12, 2018
SEC Must Clarify Advice Standards or the Courts Will: AARPThe SEC must clearly define the standard of conduct as a fiduciary standard, AARP says.
June 11, 2018
Actor Wants to Replace Sports Gambling With Investing"A Christmas Story" and "Transformers" actor Zack Ward has a new audience: the SEC, whose approval he is seeking for an investing platform.
June 11, 2018
SEC 12b-1 Fee Self-Reporting Deadline Hits TuesdayThe share-class conflicts will remain a priority for examiners over the next year or two, a Drinker Biddle & Reath partner says.
June 08, 2018
DeVere USA Fined for Misleading Clients: EnforcementMeanwhile, the SEC charged a "whale whisperer" with fraud.
June 07, 2018
The Rise of the 'Crypto Czar,' the Fall of a 'Blockchain Evangelist'The cryptocurrency enforcement landscape evolved this past week, including the appointment of a "Crypto Czar" and an enforcement action against a "Blockchain Evangelist."