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.
SEC Shows Off Cybersecurity Muscle Following EDGAR Breach
By Ed SilversteinStill, there are questions on how many cases will be brought by the new cyber unit.
November 07, 2017
SEC Warns Against Paid-to-Click Ad ScamsBe skeptical if you are offered high returns for buying advertising products or clicking on online ads, said SEC's Schock.
November 03, 2017
Ex-Merrill Broker to Pay $5M Over Excessive Commissions, Fees: EnforcementMeanwhile, a New Yorker pleaded guilty to securities fraud for his role in a Ponzi scheme involving "Hamilton" tickets.
November 02, 2017
DOL Files Official Delay of Fiduciary RuleThe delay should be approved by OMB in a week or two, lawyer Reish says. Barbara Roper doubts the complete rule will ever take effect.
November 02, 2017
SEC Warns: Celebrity Investment Endorsements Could Be UnlawfulFloyd Mayweather and Jamie Foxx have promoted ICOs recently; the SEC warns investors not to base decisions on celebrity recommendations.
November 01, 2017
Trump to Tap Fed's Powell as Chair, Replacing Yellen: WSJTrump would be choosing a former private-equity executive who favors continuing gradual interest-rate increases.
November 01, 2017
Senate Panel Approves Peirce, Jackson as SEC CommissionersThe nominations now move to the full Senate for consideration.
October 30, 2017
SEC to Advisors: Stop Sloppy AdsRegulator publishes alert on compliance issues found in SEC advisor exams.