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.
Ex-Broker Charged With Stealing From His Elderly Mother: Enforcement
By Emily ZulzMeanwhile, an advisor pleaded guilty to defrauding seniors, including his in-laws.
January 25, 2018
Broker Fined for Impersonating Rival With Online Sex AdsWhen an Edward Jones broker in California wanted to exact revenge on a rival, he went too far.
January 22, 2018
FINRA Launches Helpline for Small FirmsThe helpline is intended to help firms get faster answers on routine matters, CEO Robert Cook says.
January 19, 2018
Fed's Quarles Draws Regulatory Road Map for Relaxing Bank RulesThe central banks supervision chief shared a laundry list of ways to make regulation less burdensome for Wall Street.
January 19, 2018
SEC Halts Approvals of Cryptocurrency FundsThe IM Division has significant outstanding questions on how funds holding cryptocurrencies would satisfy the 40 Act and its rules, says SECs Blass.
January 18, 2018
Be Prepared for Heightened SEC, FINRA Scrutiny on ICOsIronically, the more regulators treat ICO tokens like securities, the more securities industry intermediaries will be drawn into this supposedly disintermediated space.
January 18, 2018
FINRA’s Budget, Released for First Time, Shows Revenue ProblemsThe regulator plans to use cash reserves instead of raising fees to cover the shortfall.
January 12, 2018
SEC's In-House Judges Draw Scrutiny From US Supreme CourtThe case could affect administrative judges at the Social Security Administration as well as at the SEC.