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.
Advisor Share-Class Infractions a ‘Widespread Problem,’ SEC Says
By Melanie WaddellThe agency's investment management division also includes a fiduciary rule among its near-term goals.
February 22, 2018
SEC Extends Liquidity Rule Deadline for Open-End FundsFunds now have six more months to implement the final rules classification requirement.
February 21, 2018
Former Morgan Stanley Broker Says Firm Destroyed EvidenceTodd Walker is challenging his termination, saying a FINRA arb panel failed to consider that Morgan Stanley shredded boxes of documents, his lawyer tells ThinkAdvisor.
February 20, 2018
JPMorgan Must Face Gender Pay Discrimination Lawsuit, DOL Panel SaysThe Labor Department's suit alleges JPM paid certain female employees less than their male counterparts.
February 20, 2018
7 Facts About the New Short-Term Health Draft RegulationsOfficials predict the effects of the proposal on individual major medical enrollment would be modest.
February 16, 2018
FINRA Impersonators Are Scamming Investors, Regulator WarnsFINRA has released an Investor Alert on fraudsters using FINRAs name and logo in correspondence including a fake signature of CEO Cook.
February 16, 2018
Trading of 3 Crypto-Linked Firms Suspended by Wary SECThe CEO of the firms said that the move surprised him and that no false claims were made.
February 15, 2018
SEC Kills Chinese-Linked Takeover of Chicago Stock ExchangeOn the campaign trail, Donald Trump blasted the transaction; a year ago, the sale was cleared by a panel that reviews foreign takeovers for national security threats.