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 Releases Exam Priorities for 2018
By Melanie WaddellThe regulator also discusses upcoming changes to its exam program and reminds firms of some important dates.
January 05, 2018
Attorney, Accountant Charged in Advisor's $9M Theft From Charity Client: EnforcementIn other enforcement news, the SEC bars and fines the former head of ConvergEx Group's transition management business.
January 04, 2018
Path of Crypto Regulation Is ‘Clear as Mud’: Norm ChampRegulators can't even agree on whether cryptocurrencies are currency, property or something else, the former SEC IM director says.
January 03, 2018
The 2018 Regulatory Texas Two-StepFirms must keep up with changes to Form ADV and Form N-PORT for mutual funds, legal and compliance specialists say.
January 02, 2018
Regulatory Wrangling: The Year AheadDOL fiduciary rule, having proper cybersecurity controls and adjusting to an updated exam program are some compliance chores facing the industry.
January 02, 2018
New Frontiers for Advisor Regulation, HiringWe all know these are tough times for advisors akin to the Wild West when it comes to keeping up with new rules and ever-changing regulations.
January 02, 2018
3 New Substance Use Confidentiality Rule FactsAn agency is letting health insurers and their subcontractors in but shutting care coordinators out.