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.
FINRA360 Progress Report, Exam Consolidation Decision Coming Soon: FINRA CEO
By Melanie WaddellFINRA will decide this year whether to consolidate its current three exam programs, said CEO Robert Cook.
March 19, 2018
SEC Awards Merrill Whistle-Blowers Record PayoutThree individuals helped agency bring 2016 case, lawyer says; SEC didn't name people involved, citing confidentiality rules.
March 19, 2018
Clayton: SEC Fiduciary Rule on Track Despite DOL Court DefeatAt the SIFMA compliance conference, Jay Clayton told Ken Bentsen that the court ruling on Labor's fiduciary rule "hasn't affected" the SEC's approach to its fiduciary rule-making.
March 16, 2018
IRS to End Offshore Voluntary Disclosure ProgramTwo groups of taxpayers may be negatively affected by the closure.
March 16, 2018
Fate of DOL Fiduciary Rule in Question After Court RulingThe 5th Circuit decision creates uncertainty days after another court upheld part of the rule, attorney Erin Sweeney says.
March 16, 2018
SEC Charges Theranos, CEO and Former President With Fraud: EnforcementIn other enforcement actions, an insurance agent is arrested in California in a $1.6 million fraud scheme targeting elderly.
March 15, 2018
DOL Fiduciary Rule Struck Down by Appeals Court'DOL has made no secret of its intent to transform' the trillion-dollar retirement market, wrote Judge Edith Jones.
March 15, 2018
SEC Investment Management Heads Talk Form ADV, Custody, Fiduciary RuleThe IM division is exploring whether to issue clarification guidance on a no-action letter on advisor custody it issued last year.