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.
6 Ways to Avoid a Cryptocurrency Stock Scam: FINRA
By Melanie WaddellFINRA issues an Investor Alert on how to avoid getting ensnared in a cryptocurrency pump and dump scheme.
December 12, 2017
SIFMA Sees SEC Fiduciary Rule Proposal Within 18 MonthsThe lobbying group takes SEC Chairman Jay Clayton "at his word" that the rule is a top priority, CEO Ken Bentsen says.
December 11, 2017
Regulation-Killing Push Falls Short of White House BoastsWhite House officials are touting cuts to regulations as one of their top achievements. But government records tell a different story.
December 08, 2017
SEC Names New Chief of Complex Financial Instruments UnitDaniel Michael looks forward to fighting fraud in "some of the most challenging areas of the markets."
December 08, 2017
FINRA Seeks to Revamp Expungement ProcessFINRA said that it's discussing with NASAA "more extensive changes" to the process.
December 08, 2017
Aguilar, TD’s Schweiss Discuss How an SEC Fiduciary Rule Could WorkThe two industry insiders talked to ThinkAdvisor about how a rule could move forward but said proposing one next year would be "tricky."
December 07, 2017
SEC Charges 2 More Brokers for Unsuitable Trades: EnforcementSEC says it's intensifying its focus on "unscrupulous brokers and their harmful practices."
December 06, 2017
FINRA Releases First Exam Findings ReportHere are the top four problem areas FINRA considers worth highlighting.