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 Fines Merrill for Unregistered Securities Sales
By Melanie WaddellThe matter involved Merrill's wealth management office in Singapore, which was sold in 2013
March 06, 2018
Bill Requires FINRA to Foot Unpaid Arb BillsSen. Warren's Compensation for Cheated Investors Act directs FINRA to set up a pool funded by penalties from BDs that will pay unpaid final arbitration awards.
March 06, 2018
SEC Releases Updated FAQ on Liquidity Risk Management ProgramsGuidance focuses on sub-advised funds, In-Kind ETFs, and funds' use of Form N-Port.
March 06, 2018
SEC Slaps NYSE, Other Exchanges With $14M Fine Over Reg FailuresNYSE, NYSE Arca, and NYSE American were penalized in the first charges brought by the agency concerning violations of the Regulation Systems Compliance and Integrity rules (or Reg SCI).
March 06, 2018
Let the DOL Oversee Association Health Plans? No WayA fraud fighter says the DOL has a bad track record when it comes to shutting down fake plans.
March 05, 2018
IRS to Issue Carried Interest Regs Under New Tax LawIRS and Treasury regulations will clarify limitations on carried interest.
March 02, 2018
SEC Halts 3-Time Offender in Scheme to Defraud Small Businesses: EnforcementIn another SEC enforcement action, an insider trader agrees to pay a fine that's triple his profits.
March 01, 2018
Sen. Warren Leads Query to SEC, FINRA on Sexual Harassment in FinanceThree female senators are probing the SEC and FINRA on how widespread sexual harassment is in the financial services sector.