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 Tougher Rules on Brokers Switching Firms With Unpaid Arb Claims
By Melanie WaddellProposed changes would allow FINRA to presumptively deny a new applicant subject to pending arbitration claims
February 09, 2018
IRS Nominee Defended Trump’s Refusal to Release His Tax ReturnsMeet Beverly Hills tax attorney Charles Rettig, the Trump administrations pick to run the IRS.
February 09, 2018
Quarter of FINRA Arb Awards Went Unpaid in 2016FINRA said it plans to organize discussions with other regulators and policymakers to further address the issue of customer recovery.
February 08, 2018
SEC: Hedge Fund Manager Used His Name to Tell a $4 Billion Lie — EnforcementIn other enforcement news, the former president of a chemical company was ordered to pay $1 million for defrauding investors.
February 08, 2018
Practical Tips to Prepare for an SEC ExamWhen regulators show up at your door to conduct an inspection, will you be ready?
February 07, 2018
Sen. Warren Blasts Equifax for Lax Cybersecurity in ReportAccording to an investigation she conducted, Equifax set up a flawed system to prevent and mitigate data security problems.
February 07, 2018
SEC Releases 2018 Exam Priorities ListExams will target circumstances in which retail investors may have been harmed, the OCIE director said.
February 06, 2018
Don't Change U.S. Rules Without Probing ImpactThe author says the DOL should do a better job of analyzing the impact of its proposals.