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.
AI In Wealth Management Is Looking More and More Inevitable: Aite
By Marlene SatterAI will gain momentum over the next three years, Aite predicts.
September 10, 2018
SEC Charges 2 Brokers With Fraud Over Excessive TradingOne broker's strategy would have to return 21% to 406% annually just to cover trading costs, the SEC said.
September 07, 2018
SEC Fines Ex-Raymond James Branch Manager for Role in EB-5 Fraud: EnforcementAlso, the SEC charged two men for using oil-and-gas investors' money for vacations and dating websites.
September 05, 2018
Senate Banking Counsel Roisman Confirmed as SEC CommissionerRoisman was confirmed by an 85–14 vote.
September 04, 2018
Finra Proposes Higher Position Limits for ETF Options ContractsNine ETF index options contracts have been selected for a doubling of position limits if SEC approves FINRA's proposal.
September 04, 2018
SEC Mulls Loosening Some Regs on Startups, Small FirmsAt issue is an accounting rule and some measures that could ease IPOs.
August 31, 2018
SEC Charges Pot Exec in Sale of Unregistered Securities on Craigslist: EnforcementAlso, the SEC charged a firm and its owner over their association with a barred advisor — the owner's father.
August 31, 2018
FINRA Rule 2010: A Short Rule With a Long ReachThe rule requiring financial pros to conduct themselves with "commercial honor" is intentionally vague.