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 Fiduciary Rule Likely to Address Broker, Advisor Titles: Peirce
By Melanie Waddell'It's been time for decades' for the SEC to write a fiduciary rule, Republican commissioner Hester Peirce said at the IAA compliance conference.
March 14, 2018
Former Equifax Exec Charged With Insider TradingThe SEC accused the former executive of capitalizing on confidential company information to cash in his stock options in advance of Equifax's public announcement of a massive data breach.
March 12, 2018
Lawmakers Push Back on Potential SEC Mandatory Arb ClausesSEC Commissioner Jackson, Investor Advocate Fleming also raise concerns
March 09, 2018
FINRA Updates Business Continuity, Disaster Recovery GuidanceFirms reporting a "significant volume" of transactions in Treasury securities must now participate in FINRA's annual business continuity and disaster recovery test.
March 09, 2018
Pump-and-Dumpers Busted in FBI Sting: EnforcementIn another enforcement action, Voya advisors agrees to repay clients $2 million.
March 08, 2018
SEC Fines Merrill for Unregistered Securities SalesThe matter involved Merrill's wealth management office in Singapore, which was sold in 2013
March 07, 2018
SEC: Digital Assets Trading Platforms Must RegisterSEC has been signaling that token trading platforms would be scrutinized to determine whether they were in violation of exchange or broker registration provisions, says attorney Morgan.
March 07, 2018
Savings of Ex-NFL Player Left Gutted by Unpaid FINRA Arb Award"My outlook for retirement: working many years into my late 60s," said Bruce Wilkerson, now a machinist.