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 Impersonators Are Scamming Investors, Regulator Warns
By Melanie WaddellFINRA has released an Investor Alert on fraudsters using FINRAs name and logo in correspondence including a fake signature of CEO Cook.
February 14, 2018
FINRA Seeks Tougher Rules on Brokers Switching Firms With Unpaid Arb ClaimsProposed changes would allow FINRA to presumptively deny a new applicant subject to pending arbitration claims
February 13, 2018
Powell Suggests Fed Will Hike Rates Despite Stock Market RoutThe new chairman said the Fed is moving to normalize monetary policy "with a view to extending the recovery."
February 12, 2018
SEC Seeks Budget Boost to Restore StaffOCIE has requested 24 more individuals, of which 13 would be dedicated to investment advisor and investment company exams.
February 09, 2018
IRS Nominee Defended Trump’s Refusal to Release His Tax ReturnsMeet Beverly Hills tax attorney Charles Rettig, the Trump administrations pick to run the IRS.
February 09, 2018
Quarter of FINRA Arb Awards Went Unpaid in 2016FINRA said it plans to organize discussions with other regulators and policymakers to further address the issue of customer recovery.
February 08, 2018
SEC: Hedge Fund Manager Used His Name to Tell a $4 Billion Lie — EnforcementIn other enforcement news, the former president of a chemical company was ordered to pay $1 million for defrauding investors.
February 08, 2018
Practical Tips to Prepare for an SEC ExamWhen regulators show up at your door to conduct an inspection, will you be ready?