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 Warns Against Paid-to-Click Ad Scams
By Melanie WaddellBe skeptical if you are offered high returns for buying advertising products or clicking on online ads, said SEC's Schock.
November 02, 2017
SEC Warns: Celebrity Investment Endorsements Could Be UnlawfulFloyd Mayweather and Jamie Foxx have promoted ICOs recently; the SEC warns investors not to base decisions on celebrity recommendations.
November 01, 2017
Trump to Tap Fed's Powell as Chair, Replacing Yellen: WSJTrump would be choosing a former private-equity executive who favors continuing gradual interest-rate increases.
November 01, 2017
Senate Panel Approves Peirce, Jackson as SEC CommissionersThe nominations now move to the full Senate for consideration.
October 30, 2017
SEC to Advisors: Stop Sloppy AdsRegulator publishes alert on compliance issues found in SEC advisor exams.
October 30, 2017
Titles in Focus (Again)Is truth in advertising the solution to investor confusion?
October 30, 2017
Senate Panel to Hold Vote on SEC Nominees Peirce, JacksonIf confirmed by the Senate Banking Committee Wednesday, their nominations would then move to the full Senate for consideration.
October 30, 2017
Cybersecurity for the Insecure AdvisorNow that the SEC's own EDGAR system has been hacked, examiners there might be even more interested in your computers.