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.
Congress May Need to Sort Out Crypto Regulation, SEC Chief Says
By Melanie WaddellSECs Clayton and Sen. Warren agree: Not a single ICO has been registered with the SEC despite billions of dollars raised, and thats a problem.
February 05, 2018
IRS Warns Tax Preparers of New Malware ScamAs this years tax season revs up, scammers have rolled out a new data theft scheme focused on tax professionals.
February 05, 2018
As Wells Fargo Plunges, Rivals Circle to Grab Market ShareDoes asset cap signal a new reality for Federal Reserve or Yellens final salvo?
February 05, 2018
FINRA Senior Protection Rules Kick InFINRAs rules will make brokers more confident of their ability to act without repercussions, but NASAAs model act goes further, says consumer advocate Barbara Roper.
February 02, 2018
Fed Bans Wells Fargo From Growing After Repeat ScandalsThe sanctions were announced just hours before Chair Janet Yellen's term came to an end.
February 02, 2018
Senate Panel to Probe SEC, CFTC Role in Virtual Currency OversightMarket regulators are reassessing whether their approach is appropriate for cryptocurrency markets.
February 01, 2018
Alleged Ski Resort Schemer Agrees to Repay Investors: EnforcementIn other enforcement news, the SEC charged two advisors with stealing $450,000 from an elderly client.
February 01, 2018
FINRA Revamps Advisory Committees, Adds 2 New OnesThe new committees focus on specialized issues involving clearing firms and capital acquisition brokers.