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.
SEC Charges Firms That Used 'Squeaky Clean' Testimonial Service: Enforcement
By Emily ZulzThe marketing firm advertised the testimonial program as "100% compliant."
July 12, 2018
JPMorgan Whistleblower Gets Record $30M From CFTCThe case was settled in December 2015, when the bank agreed to pay $367 million for not disclosing that it was steering asset-management clients into investments that would be especially profitable to the company.
July 11, 2018
House Panel Passes Bill to Help Ease SEC Rules on Small FirmsThe Panel also passed a bill requiring SEC to set up a senior investor task force.
July 11, 2018
Kavanaugh Reveals Modest Assets, but His Net Worth May Be HigherDisclosure of federal retirement plan assets isn't required; Kavanaugh spent most of his career in the federal government.
July 10, 2018
Some Commenters Tell the SEC They Still See Annuity ProblemsYou may think there's already enough oversight. Some consumers, and some financial professionals, disagree.
July 10, 2018
Supreme Court Nominee Helped Kill Merrill Lynch RuleIn 2007, Brett Kavanaugh agreed with the FPA in its fight against the SEC.
July 10, 2018
Schwab to Pay SEC $2.8M for Failing to File SARsThe SEC is using a "novel legal theory" to get big brokers and custodians to police their platform users, Cipperman says.
July 09, 2018
Be a Benefits Rescue Hero: Help Employer Clients With IRS Letter 226JRemember the theory that the IRS could eventually enforce the ACA employer reporting rules? Well...