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.
CMS Moves to Save Individual Major Medical Insurance
By Allison BellTrump administration officials backed off from a chance to let the ACA framework collapse.
July 23, 2018
'Raise Your Voice' Campaign Pushes for SEC Reg BI Changes"This [Reg BI] is just regulation gone wrong," said Sheryl Garrett, head of Garrett Financial Planning Network.
July 23, 2018
Deutsche Bank Units to Pay $75M to SEC Over ADRsThe units allowed pre-released ADRs to be used for "abusive practices," the SEC said.
July 20, 2018
Senate Dems Call SEC Reg BI 'Confusing,' Prod FINRA for AnswersSens. Warren, Brown and Booker say the rule is unlikely to "give investors the peace of mind they deserve."
July 20, 2018
SEC Charges Advisor Who Stole $3M From Clients: EnforcementIn another enforcement action, a former State Street Corp. exec was convicted of defrauding customers.
July 18, 2018
Chamber Wants Regulators to Update Their Fintech PoliciesChamber's new FinTech Innovation Initiative will help inform policymakers about new products and services in the fintech space.
July 18, 2018
SEC Charges Investment Advisor and CEO With Misleading InvestorsThe firm and its CEO steered advisory clients and other investors into risky investments while pocketing hefty commissions, the SEC said.
July 16, 2018
Ami Forte, Ex-Morgan Stanley Star, Portrayed Falsely by Former Boss, Lawyer SaysForte's former branch manager was "bought off" by Morgan, her lawyer tells ThinkAdvisor.