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.
FINRA Seeks Comments on Changes in Arbitration Rules
By Melanie WaddellOne amendment seeks to help further address the issue of unpaid customer arbitration awards, says FINRA's Berry
October 17, 2017
SEC Charges Miner Rio Tinto, Former Execs With FraudThe firm inflated the value of coal assets acquired for $3.7 billion and sold a few years later for $50 million, the SEC says.
October 16, 2017
Commonwealth CEO Upbeat on DOL Fiduciary, ‘RIA-zation’Wayne Bloom and other execs highlight the growth of the firms indie advisors at a national event in San Diego.
October 16, 2017
FINRA Orders Wells Fargo to Pay $3.4M Over Volatility-Linked ETPsReps recommended the exchange-traded products without fully understanding their risks, FINRA said.
October 13, 2017
SEC Charges 3 in Caffeinated Snack Scam: EnforcementIn another action, the SEC charged an attorney with participating in a Ponzi scheme.
October 11, 2017
Dealing With Rollovers Under the DOL Fiduciary RuleHere's how things could work if the rule comes back to life.
October 11, 2017
IRS Warns of New Email Scam Targeting E-Services UsersScammers are using phishing emails to try and trick tax professionals into signing a new e-Services user agreement.
October 11, 2017
FINRA Warns Investors About Fake Financial DesignationsThe alphabet soup of designations can be used to perpetrate fraud, FINRA warns.