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.
If DOL Drops Fiduciary Rule, Will Clean Shares Fade?
By Nick ThorntonIndustry concerns and the 5th Circuit decision on the fiduciary rule may slow clean share emergence.
April 04, 2018
DOL Fiduciary Rule Vacated. Now What?Industry officials are busy surmising what the 5th Circuit ruling means for the fiduciary rule's fate and for an SEC fiduciary rule.
April 03, 2018
SEC Halts 'Crypto Debit Card' ICO Touted by Floyd MayweatherThe co-founders created fake executives and falsely told investors their card was backed by MasterCard and Visa, the SEC says.
April 02, 2018
Fintech Founder Spent Investor Funds on Chartered Flights, Dairy Farm: SECThe SEC says Michael Liberty tricked hundreds of investors into believing that they were funding fast-growing startup companies.
March 30, 2018
IRS' Dirty Dozen: 12 Tax Scams to Avoid — 2018Don't let your clients get taken for an expensive ride this tax season.
March 30, 2018
Sweeping Federal Disability Claim Regulations Take Effect SundayA benefits law specialist says the new regs will affect any plan with a disability determination trigger.
March 30, 2018
Former Funding Portal DreamFunded Still in FINRA's CrosshairsThe ex-CEO's attorney said he was ill and couldn't produce documents, but his social media posts suggest otherwise.
March 30, 2018
Former F-Squared CEO to Pay $13M for Misleading Investors: EnforcementIn other enforcement actions. Robert Murray was sentenced to two years imprisonment in connection with Fitbit manipulation scheme.