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.
Fed Chair Powell Agrees to Public Vote on Wells Fargo Remediation Plans
By Melanie WaddellPowell also said he'd consider releasing as much as possible of the third-party review on the bank's reforms.
May 10, 2018
DOL Fiduciary Rule Still Effective Until Court Issues Mandate: LawyerThe 5th Circuit has yet to issue an order to vacate the rule, as it was expected to do on Monday.
May 10, 2018
IRS Warns of Tax Scam Targeting Nonresident Aliens and International TaxpayersCriminals solicit recertification of foreign status using a bogus form.
May 10, 2018
Amended FINRA Customer Confirmations Rule Kicks In MondayAmended rule requires BDs to disclose more transaction-related information to retail customers for trades in fixed income securities; MSRB gets SEC OK to establish a new advertising rule
May 09, 2018
SEC Charges Texas-Based Muni Advisor With Defrauding School DistrictThe municipal advisor overstated its municipal finance experience and failed to disclose conflicts of interest.
May 08, 2018
Does Piwowar's Departure Throw a Wrench Into SEC's Broker Conduct Plan?The commissioner's departure comes as Kara Stein is also slated to step down.
May 08, 2018
FINRA Sanctions Fifth Third Over Variable Annuity ExchangesThe broker-dealer failed to appropriately consider and accurately describe the costs and benefits of VA exchanges, FINRA says.
May 07, 2018
DOL Announces Fiduciary Rule Enforcement PolicyLabor is "throwing retirement savers under the bus," Barbara Roper says.