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 Enforcement Units, Unite!
By Melanie WaddellSusan Schroeder talked about the goals of merging FINRA's two enforcement divisions: namely, making enforcement actions more "foreseeable."
June 01, 2018
SEC Fines 13 Private Fund Advisors Over Form PF FailuresThe SEC found that they failed to file annual reports on Form PF informing the agency about the private funds they advise
June 01, 2018
Norm Champ Says SEC Should Get an A-MinusIn a ThinkAdvisor interview, the ex-SEC official discussed why the agency didn't stop Stanford and Madoff and how it's doing under Clayton.
June 01, 2018
SEC Charges Rep in $8 Million Scam Targeting Retirees: EnforcementMeanwhile, the CFO of an investment advisor was fined in a fraud case.
May 31, 2018
SEC Is Said to Review Allegations That Aflac Misled InvestorsLawyers hired by an Aflac board committee said the accusers' allegations are inaccurate.
May 31, 2018
FINRA's Stepped-Up Broker Background Checks to Start in JulyBeginning July 9, FINRA will conduct a public records search within 15 days of an applicant's Form U4 filing.
May 30, 2018
Groups Fight SEC for Longer Comment Period on Conduct RulesFPA and others say they can't comment on the new disclosure form until they know whether or not investors actually understand it.
May 30, 2018
Fed Releases Proposal for Easing Volcker-Rule Trading LimitsRollback of the rule would "broadly simplify and tailor" it without negatively affecting bank safety, according to a plan summary.