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.
Trump's Association Health Plans Will Be Like Big Employer Plans: DOL
By Allison BellMHPAEA mental health parity rules will apply. ACA benefits package rules won't.
June 18, 2018
FINRA Hearing Panel Bars Rep, Firm for Violating SuspensionWhile on three-month suspension, Miami broker "never stopped his association" with the broker-dealer and with continued soliciting customers, FINRA hearing panel found.
June 15, 2018
SEC Halts 'Revolutionary' Shopping App Scheme: EnforcementIn other enforcement actions, the CFTC halts a $5.5 million precious metals fraud.
June 15, 2018
US Lets Supreme Court Deadline Lapse to Challenge 5th Circuit Fiduciary RulingDOJ lets last deadline to save the fiduciary rule pass; industry officials debate likelihood of SEC "uniform fiduciary" rule.
June 14, 2018
Ether Surges After Top SEC Official Says It's Not a SecurityStatement eases concerns that regulators would crack down; digital currency rises as much as 10 percent on announcement.
June 14, 2018
How to Tell if a Broker Is Selling Unapproved InvestmentsThe SEC lists signs that a broker may be running a side business offering investments that are not approved for sale.
June 14, 2018
FINRA Overhauls CRD, BrokerCheck Disclosure SystemFINRA's new WebCRD interface is designed "to give more immediate responses to firms about potential red flags in their submissions."
June 13, 2018
SEC Advice Plan Requires Big Change in Broker Behavior: ClaytonSEC chief responded to questions at agency's first town hall, held in Atlanta.