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.
SEC Chief Clayton Wants More Funds for Advisor Exams
By Melanie WaddellSEC chief Clayton tells lawmakers that the agency would use part of its budget request to also help advance the conflict of interest rules.
June 05, 2018
FINRA Enforcement Units, Unite!Susan Schroeder talked about the goals of merging FINRA's two enforcement divisions: namely, making enforcement actions more "foreseeable."
June 04, 2018
SEC Names Cryptocurrency CzarValerie Szczepanik is appointed to a newly created post, senior advisor for Digital Assets and Innovation.
June 04, 2018
Senate Banking Lawyer Nominated as SEC CommissionerElad Roisman, the Banking Committee's chief counsel, has also served as counsel to former SEC Commissioner Dan Gallagher.
June 01, 2018
SEC Fines 13 Private Fund Advisors Over Form PF FailuresThe SEC found that they failed to file annual reports on Form PF informing the agency about the private funds they advise
June 01, 2018
Norm Champ Says SEC Should Get an A-MinusIn a ThinkAdvisor interview, the ex-SEC official discussed why the agency didn't stop Stanford and Madoff and how it's doing under Clayton.
June 01, 2018
SEC Charges Rep in $8 Million Scam Targeting Retirees: EnforcementMeanwhile, the CFO of an investment advisor was fined in a fraud case.
May 31, 2018
SEC Is Said to Review Allegations That Aflac Misled InvestorsLawyers hired by an Aflac board committee said the accusers' allegations are inaccurate.