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.
Timber! SEC Chops Down $85M Ponzi Scheme: Enforcement
By Emily ZulzThe SEC also charged a lawyer in microcap fraud schemes.
May 02, 2018
Gotcha! SEC Searchable Database Flags Enforcement RecordsSALI helps identify registered and unregistered individuals who have been parties to past SEC enforcement actions and against whom federal courts have entered judgments.
May 02, 2018
5th Circuit Denies AARP, States' Request to Intervene in DOL Fiduciary RulingDrinker Biddle's Fred Reish speculated to ThinkAdvisor on Labor's next move.
May 01, 2018
SEC Releases FAQ on 12b-1 Fee InitiativeThe FAQ provides more information about advisor eligibility, disgorgement and distribution of funds to clients.
May 01, 2018
Goldman Sachs to Pay $110M to N.Y., Fed for FX TradesThe resolution covers trading from 2008 to 2013, several years after a far bigger wave of penalties tied to foreign-exchange trading by other global banks.
April 30, 2018
FINRA Issues Guidance, Seeks Comment on High-Risk BrokersThe regulator highlights instances when heightened supervision of brokers may be needed.
April 30, 2018
SEC IM Chief Offers Clarity on Broker Conduct StandardsIM director Blass answers questions on the proposed 'Relationship Summary' and Regulation Best Interest for brokers.
April 30, 2018
A Close-Up View of the SEC's 'Fiduciary' ProposalThe latest update and details on the SEC fiduciary proposal and Best-Interest plan