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.
FINRA Wants Info on BDs' Digital Asset Activity
By Melanie WaddellIn a just-released Reg Notice, FINRA wants BDs to "promptly notify" the self-regulator.
July 03, 2018
Blockchain's Latest Twist: Digitizing Company SharesA hedge fund turns paper shares in a cloud storage company into digital tokens.
July 03, 2018
Here's How Much FINRA Execs Were Paid in 2017Total executive compensation is down slightly from a year earlier, FINRA reports.
July 03, 2018
Schwab Settles SEC Suit on Reporting FailureSchwab was charged with failing to file reports on suspicious transactions by 37 independent investment advisors.
June 29, 2018
SEC Hits the Road to Hear Investors' Thoughts on Best-Interest PlanChairman Jay Clayton will be holding a series of roundtable discussions with investors around the country in July.
June 29, 2018
SEC Fines Morgan Stanley $3.6M for Failing to Protect Client FundsAccording to the SEC, one of Morgan Stanley's reps misused or misappropriated nearly $7 million from clients.
June 29, 2018
FINRA Reveals Where Fine Money WentThe regulator outlines, for the first time, project work and other initiatives supported by sanctions.
June 29, 2018
Indie BD Exec Wins Seat on FINRA BoardSecurities America CEO Jim Nagengast, who had the support of the Financial Services Institute, received more votes than Shelley O'Connor, managing director and co-head of Morgan Stanley Wealth Management.