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.
FSI Backs Securities America's Nagengast for Large Firm FINRA Board Seat
By Melanie WaddellCEO Nagengast and Shelley O'Connor, co-head of Morgan Stanley Wealth Management, are running to fill the large firm governor's seat.
June 11, 2018
Actor Wants to Replace Sports Gambling With Investing"A Christmas Story" and "Transformers" actor Zack Ward has a new audience: the SEC, whose approval he is seeking for an investing platform.
June 11, 2018
SEC 12b-1 Fee Self-Reporting Deadline Hits TuesdayThe share-class conflicts will remain a priority for examiners over the next year or two, a Drinker Biddle & Reath partner says.
June 08, 2018
DeVere USA Fined for Misleading Clients: EnforcementMeanwhile, the SEC charged a "whale whisperer" with fraud.
June 07, 2018
The Rise of the 'Crypto Czar,' the Fall of a 'Blockchain Evangelist'The cryptocurrency enforcement landscape evolved this past week, including the appointment of a "Crypto Czar" and an enforcement action against a "Blockchain Evangelist."
June 07, 2018
SEC Chief Clayton Wants More Funds for Advisor ExamsSEC chief Clayton tells lawmakers that the agency would use part of its budget request to also help advance the conflict of interest rules.
June 05, 2018
SEC Adopts Fund E-Delivery Rule, Seeks Comment on Updating Fund DisclosuresThe new rule, SEC chief Clayton said, "significantly modernizes delivery options for fund information."
June 05, 2018
GOP's Anti-Reg Stance Is a 'Big, Greasy Baloney Sandwich': Sen. WarrenSen. Elizabeth Warren says she plans to introduce sweeping anticorruption legislation in the coming weeks.