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.
FINRA Consolidates 3 BD Exam Programs
By Melanie WaddellFINRA's business conduct, financial and trading compliance exams will be consolidated "under a single framework."
September 27, 2018
SEC Sues Musk, Seeks Ban for Tweets on Go-Private DealSuit sends Tesla shares down 13% in after-hours trading; SEC seeks order that Musk can't serve as officer or director.
September 27, 2018
IRS Hands Out $13.6M Whistleblower AwardWhistleblower information led to the IRS collecting over $52.6 million in taxes, penalties and interest in the case.
September 27, 2018
FINRA's New Competency Exams Start MondayFINRA is also eliminating 7 of its 16 rep-level exams.
September 27, 2018
Sizing Up the SEC's Form CRSConsumer groups present the SEC with survey results that show investor confusion on Form CRS; lawmakers also weigh in.
September 26, 2018
SEC Hits Voya Financial Advisors With $1M Fine Over Cyber BreachHackers tricked a helpdesk into resetting passwords so they could gain access to customer data, the SEC said.
September 26, 2018
No Time Frame Yet for Final SEC Best-Interest RuleThe SEC is reviewing more than 6,000 comments on the plan, IM director Dalia Blass told lawmakers.
September 25, 2018
FINRA's Top 5 Fine Categories in First Half of 2018Restitution is down significantly from 2017, according to Eversheds Sutherland's midyear analysis of FINRA disciplinary actions.