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.
Insider Trader Searched Internet for How to Hide Trades: Enforcement
By Emily ZulzIn other enforcement news, the SEC obtained a judgment and industry bar against retired NBA star Tim Duncan's investment advisor.
July 12, 2017
SEC Chief Wants Public Input on a New Fiduciary Rule Before StartingIn his first major speech as chairman, Jay Clayton also suggested easing disclosure requirements for publicly traded companies.
July 07, 2017
FINRA Earnings Rise as Fines SoarFines rise 85%; pay stays close to $1 million and higher for at least four execs.
July 07, 2017
SEC Busts Bitcoin and Co-working Space Investment Schemes: EnforcementSEC also charged the sister of a convicted Ponzi scheme operator with selling unregistered securities.
July 06, 2017
Trump DOJ’s Aversion to Class Actions Will Have Wide ImpactThe administration's switch from opposing to defending bans on class actions, including in the DOL's BICE, will have broad consequences.
July 04, 2017
Trump Administration Rebuffs Challenge to Fiduciary Rule in Appeals CourtU.S. asks Fifth Circuit largely to uphold the rule as regulators move to revise it, or further delay implementation.
July 03, 2017
The Debate Over ‘New Evidence’ and the Fiduciary RuleIn an email to ThinkAdvisor, Harold Evensky had some choice words on a recent Chamber of Commerce study that purported to show the rules harm.
July 03, 2017
What's Next for the DOL Fiduciary Rule?A Morningstar regulatory specialist says changes to enforcement and even a delay in the full rollout date are possible.