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.
Looking for Leniency From FINRA? Don't Count on Mitigation
By John CurleyFINRA sanctions are designed to take mitigating circumstances into account, but mitigation arguments often face long odds.
March 20, 2018
FINRA360 Progress Report, Exam Consolidation Decision Coming Soon: FINRA CEOFINRA will decide this year whether to consolidate its current three exam programs, said CEO Robert Cook.
March 20, 2018
Former SEC Investment Management Execs Join Stradley RononFormer IM Director David Grim, IM deputy chief counsel Sara Crovitz join Stradley Ronon's investment management practice group.
March 19, 2018
Gibson Dunn: No 'Circuit Split' on DOL Rule; Decision Applies NationwideThe decision removes the fiduciary rule from the books, say attorneys who argued against the DOL rule.
March 19, 2018
SEC Awards Merrill Whistle-Blowers Record PayoutThree individuals helped agency bring 2016 case, lawyer says; SEC didn't name people involved, citing confidentiality rules.
March 19, 2018
Clayton: SEC Fiduciary Rule on Track Despite DOL Court DefeatAt the SIFMA compliance conference, Jay Clayton told Ken Bentsen that the court ruling on Labor's fiduciary rule "hasn't affected" the SEC's approach to its fiduciary rule-making.
March 16, 2018
IRS to End Offshore Voluntary Disclosure ProgramTwo groups of taxpayers may be negatively affected by the closure.
March 16, 2018
Fate of DOL Fiduciary Rule in Question After Court RulingThe 5th Circuit decision creates uncertainty days after another court upheld part of the rule, attorney Erin Sweeney says.