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.
Titles in Focus (Again)
By Bob ClarkIs truth in advertising the solution to investor confusion?
October 27, 2017
Zenefits Settles With SEC Over Charges It Misled InvestorsThe company and its former CEO have not admitted any wrongdoing.
October 27, 2017
Treasury Backs DOL Fiduciary Rule DelayA just-released Treasury report also calls for more annuity access in 401(k) plans and a "plain vanilla" ETF rule from the SEC.
October 27, 2017
New SEC Task Force to Use Data to Root Out Advisor FraudThe task force will use data analytics to spot misconduct like mutual fund share class and wrap-fee account abuse.
October 26, 2017
Former Apollo Partner Charged With Secretly Billing Clients for Vacations, Salon Visits: EnforcementThe SEC also obtained a judgment against a real estate developer who fled after being convicted of insider trading.
October 26, 2017
SEC Names Driscoll Head of Exam UnitPete Driscoll has been serving as acting director since Marc Wyatt left in January.
October 26, 2017
FINRA Regulatory Chief Axelrod to DepartAfter 28 years at FINRA and its predecessor, Susan Axelrod will step down.
October 26, 2017
Rep. Wagner Brings Back Taxpayer ID Theft Protection ActBill would allow anyone an IP PIN, which provides taxpayers another level of security, Wagner said.