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 Immigration Attorney With Defrauding EB-5 Investors: Enforcement
By Emily ZulzIn other actions, a court orders insider trading defendant Believe Lin to pay nearly $7.3 million after finding him in contempt.
June 21, 2017
3 Reasons DOL Fiduciary Rule Will Stay Intact: ERISA Attorney WagnerMarcia Wagner says the administrations focus on the fiduciary rule shows how important the private pension system is to our safety net of this country.
June 19, 2017
Trump Said Likely to Name Hester Peirce as SEC CommissionerPeirce, a former SEC counsel and Senate aide, is the Trump administrations likely choice to fill the open Republican seat at the SEC.
June 16, 2017
For SEC Fiduciary Rule, Regulate Titles First: CFA Institute CommentsComments are trickling into the SEC, with CFA Institute saying that the issue of titles needs to be addressed so rules can be clarified.
June 16, 2017
Why IBM’s Watson Regtech May Not Be Right for AdvisorsAI is whatever five years from now well think is normal, according to Brian Clark of Ascent.
June 16, 2017
Las Vegas Firm Busted in Phony LGBT Resort Scam: EnforcementIn other enforcement news, Nationwide, Pershing and FSC Securities all receive FINRA fines.
June 15, 2017
SEC Issues FAQs Guidance on Form ADVThe SEC addresses issues with cross-border investment managers.
June 14, 2017
IBM Releases Watson-Powered Regtech SoftwareIBM has launched a suite of regtech products powered by Watson, IBMs artificial intelligence platform, to help financial services firms manage their growing compliance responsibilities.