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.
Perkins Coie Hires Former SEC Fintech Examiner Didiuk
By Melanie WaddellDidiuk joins Perkins Coies Investment Management, Fintech and Blockchain teams.
November 30, 2017
‘Spongebuddy’ Investors Got Scrubbed: EnforcementIn another enforcement action, an advisor is charged for an investment scheme involving seniors.
November 30, 2017
FINRA to Revamp Exam ProgramFINRA is taking a broader look at our exam programs, CEO Robert Cook says.
November 29, 2017
SEC, Treasury Considering Whether Treasury Market Needs New RegsSEC Chairman Clayton and Treasury Secretary Mnuchin spoke about this and related issues at a New York Fed conference.
November 29, 2017
FINRA Warns BDs of Impending AML Rule Compliance DeadlineThe regulator reminds BDs of the upcoming May compliance deadline for Anti-Money Laundering Compliance Program Rule 3310.
November 28, 2017
IRS’ 7 Cybersecurity Tips to Keep Holidays From Ruining Tax SeasonNational Tax Security Awareness Week is a good time to have clients conduct a personal security audit.
November 28, 2017
Ron Rhoades Sees Grim Fiduciary Rule FutureRhoades, a fiduciary rule proponent, doubts the full rule will go into effect during the Trump administration.
November 27, 2017
Beware: The Bully LivesMuch to my chagrin, the SEC recently has demonstrated an increasingly aggressive posture during regulatory examinations.