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.
Bill Requires FINRA to Foot Unpaid Arb Bills
By Melanie WaddellSen. Warren's Compensation for Cheated Investors Act directs FINRA to set up a pool funded by penalties from BDs that will pay unpaid final arbitration awards.
March 06, 2018
Let the DOL Oversee Association Health Plans? No WayA fraud fighter says the DOL has a bad track record when it comes to shutting down fake plans.
March 05, 2018
IRS to Issue Carried Interest Regs Under New Tax LawIRS and Treasury regulations will clarify limitations on carried interest.
March 02, 2018
SEC Halts 3-Time Offender in Scheme to Defraud Small Businesses: EnforcementIn another SEC enforcement action, an insider trader agrees to pay a fine that's triple his profits.
March 01, 2018
Sen. Warren Leads Query to SEC, FINRA on Sexual Harassment in FinanceThree female senators are probing the SEC and FINRA on how widespread sexual harassment is in the financial services sector.
March 01, 2018
The Sense Behind the Noise on RegulationA Trump administration report suggests that the benefits of earlier regulations have often exceeded their costs.
March 01, 2018
Why Has the Number of FINRA Firms Declined?Many of the firms that left shouldn't have been in business in the first place, Susan Axelrod says.
March 01, 2018
FINRA Plan on Outside Business Activities to Spark 'Much Debate'FINRA floated a rule Wednesday to free broker-dealers of liability for investment advisors' outside business activities.