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.
Sweeping Cybersecurity Regulations Unlikely in Congress: Rep. Himes
By Emily ZulzBoth Himes and an FBI agent called for international cybesecurity norms during a conference in New York.
September 26, 2017
Building the New Berlin Tax Wall: Treasury’s Anti-Inversion RegulationsThe analogy of U.S. corporate tax policy is the Berlin Wall, because it clearly illustrates the melding of bad policy and all-but-certain failure.
September 25, 2017
Senators Ask SEC Chief to Mull Further Cyber Rules After EDGAR HackClayton plans to testify that he's "deeply concerned" about the breach and to lay out for lawmakers what an SEC fiduciary rule should look like.
September 25, 2017
FINRA Hits Morgan Stanley for $13M Over UIT TradesHundreds of Morgan Stanley reps executed short-term UIT rollovers in thousands of customer accounts, FINRA found.
September 25, 2017
FINRA Fines Down 70% in First Half of 2017These are the five biggest FINRA fine categories for the first half, according to Eversheds Sutherland.
September 22, 2017
Businessman Stole Investor Funds for Packers Tickets, SEC Says: EnforcementAlso, FINRA censures and fines Goldman Sachs, State Street and UBS.
September 20, 2017
SEC Chief Clayton Reveals Cyber Breach in EDGAR SystemIn a sweeping statement, agency says it learned in August that the 2016 breach "resulted in access to nonpublic information."
September 20, 2017
Senate Panel to Grill SEC Chair ClaytonTestimony before a House panel in early October is also forthcoming; the hearings come as the agency takes comments on a fiduciary rule.