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.
AARP, States File for Rehearing of DOL Fiduciary Case
By Melanie WaddellThe retiree group said it intervened to protect retirement investors because the Labor Department most likely wouldn't.
April 24, 2018
FINRA Releases FINRA360 Progress ReportFINRA CEO Robert Cook talks to ThinkAdvisor about how the sweeping regulatory initiative is coming along.
April 24, 2018
Barred Broker Owes Morgan Stanley $6MBarry Connell used clients' money to pay for a country club membership and private jets, the SEC says.
April 23, 2018
'Buckets of Money' Supreme Court Case Tests Power of SEC JudgesThe dispute could affect more than 100 cases currently at the SEC.
April 20, 2018
The SEC Just Did Brokers a Huge FavorProposed standards, stopping short of a fiduciary rule, let them keep charging fees.
April 20, 2018
April 30 Deadline Looms for DOL Fiduciary AppealERISA attorneys discuss whether Labor will appeal and say the SEC's broker conduct proposal seems "rushed."
April 20, 2018
House Passes Bills to Revamp IRSHouse Ways and Means Chair Brady lauds a "monumental step," hoping for Senate passage.
April 20, 2018
SEC Charges Advisor in $1.4 Million Fraud Scheme: EnforcementIn other enforcement actions, LPL faces a FINRA fine and the SEC charges a businessman for stealing from a pension plan.