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.
CFPB Director Richard Cordray Will Step Down Before End of November
By C. Ryan BarberCordrays exit opens the door for President Trump to install a more industry-friendly leader.
November 14, 2017
SEC Finds Widespread Compliance Failures Among Municipal AdvisorsA risk alert details frequently observed deficiencies in the areas of registration, books and records, and supervision.
November 14, 2017
House Passes Bill Requiring Safeguards on Trading DataThe CAT system, which tracks market activity, was scheduled to launch soon but exchanges are reportedly seeking a delay.
November 13, 2017
SEC’s Top 3 Enforcement PrioritiesStephanie Avakian, co-director of enforcement, said the agency is trying to be more strategic, expanding the use of digital analytics in investigations.
November 09, 2017
FINRA Bars Broker Who Ripped Off Blind, Elderly WidowHank Mark Werner received commissions for recommending that a client purchase an unsuitable variable annuity.
November 08, 2017
SEC Shows Off Cybersecurity Muscle Following EDGAR BreachStill, there are questions on how many cases will be brought by the new cyber unit.
November 08, 2017
SEC Creating Searchable Database of Bad BrokersThe site will be particularly valuable for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
November 08, 2017
SEC OKs FINRA Rule on Capital Acquisition Brokers’ Pay-to-Play ActivitiesGovernment plan solicitors can continue their activities on behalf of RIAs by submitting to the lighter CAB regulatory regime, says Cipperman.