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.
All Eyes on Uniform Fiduciary Rule, but Skeptics Abound
By Melanie WaddellCan the SEC and Labor successfully collaborate on a uniform fiduciary standard? Industry watchers like Brian Hamburger have their doubts.
December 22, 2017
Broker Charged With Illegally Accepting $1M in Cash Kickbacks: EnforcementRaymond James and Merrill Lynch both receive million-dollar FINRA fines.
December 22, 2017
Here Are FINRA’s Plans for 2018Changes in FINRAs suitability rule and streamlining of restrictions on outside business activities are on tap for the new year.
December 22, 2017
Peirce, Jackson Confirmed as SEC CommissionersThis will be the first time the SEC has had a full commission since 2015; the Senate also approved a new Labor EBSA head.
December 21, 2017
SEC Busts $1.2 Billion Ponzi Scheme Targeting SeniorsMore than 8,400 investors were defrauded in unregistered Woodbridge funds, the SEC says.
December 21, 2017
6 Ways to Avoid a Cryptocurrency Stock Scam: FINRAFINRA issues an Investor Alert on how to avoid getting ensnared in a cryptocurrency pump and dump scheme.
December 19, 2017
Former Head of SEC’s NY Office to Join Finn DixonAndrew Calamari will join the firm's government and internal investigations, litigation and investment advisors/broker-dealers practice.
December 15, 2017
SEC Modifies N-PORT Filings in Response to EDGAR HackLarger fund groups will need to make N-PORT information available to the SEC upon request.