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.
SEC Charges Long Island Town, Ex-Official With Defrauding Municipal Investors
By Emily ZulzThe official and town hid loan guarantees with a concession stand vendor totaling more than $20 million from investors.
November 20, 2017
Senate Appropriations Bill Gives SEC More Funds for TechJust-released FY2018 funding bill also includes "poison pill" riders related to CFPB's budget.
November 17, 2017
Mortgage Lender Charged With Illegal Securities Offering: EnforcementIn other enforcement actions, a fake EDGAR filer pleads guilty to securities fraud charges.
November 17, 2017
Clayton’s SEC Cracking Down on Individuals Over InstitutionsThis strategy consumes more resources, but the price is worth paying, the agencys two top enforcers say.
November 16, 2017
DOL Unit Prepares Multi-Employer Health Purchasing ProposalThe OMB is putting a draft of the proposal, which has not been released, through a regulatory review.
November 16, 2017
Advisors Must Act in Customers' Best Interest: DOL SecretaryAlex Acosta said EBSA will go after retirement advisors in material breach of the standards.
November 15, 2017
FINRA Board Rife With Conflicts: PIABAFINRAs board "has public board members who have very deep ties to the securities industry," said the lawyers' trade group.
November 15, 2017
DOL Ready to Enforce Fiduciary Rule: AcostaIf firms are willfully violating the best-interest standard, which took effect June 9, Labor will use its enforcement authority, Acosta told lawmakers.