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.
Sen. Warren Blasts Equifax for Lax Cybersecurity in Report
By Emily ZulzAccording to an investigation she conducted, Equifax set up a flawed system to prevent and mitigate data security problems.
February 06, 2018
Congress May Need to Sort Out Crypto Regulation, SEC Chief SaysSECs Clayton and Sen. Warren agree: Not a single ICO has been registered with the SEC despite billions of dollars raised, and thats a problem.
February 05, 2018
DOL, SEC Fiduciary Rules Likely in FallAny SEC rule will be crafted in such a way to attempt to avoid any challenge by any outside party, a lawyer says.
February 05, 2018
FINRA Fines Wedbush $1.5M for Customer Protection, Net Capital Rule ViolationsThe BD failed to keep enough cash in reserves, FINRA says.
February 05, 2018
IRS Warns Tax Preparers of New Malware ScamAs this years tax season revs up, scammers have rolled out a new data theft scheme focused on tax professionals.
February 05, 2018
As Wells Fargo Plunges, Rivals Circle to Grab Market ShareDoes asset cap signal a new reality for Federal Reserve or Yellens final salvo?
February 05, 2018
FINRA Senior Protection Rules Kick InFINRAs rules will make brokers more confident of their ability to act without repercussions, but NASAAs model act goes further, says consumer advocate Barbara Roper.
February 02, 2018
Fed Bans Wells Fargo From Growing After Repeat ScandalsThe sanctions were announced just hours before Chair Janet Yellen's term came to an end.