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.
Court Issues Arrest Warrant for Insider Trading Defendant: Enforcement
By Emily ZulzIn other enforcement actions, a Boston federal court ordered a promoter of the TelexFree scheme to pay $1.8 million.
June 01, 2017
Financial Regulation Calls for 20/20 VisionFinancial Stability Oversight Council supporters say federal regulators need a wide-angle view.
May 31, 2017
Deutsche Bank Fined $41M for Money-Laundering LapsesFederal Reserve sanctions lenders U.S. banking operations; bank accused of "unsafe and unsound" practices in Fed order.
May 31, 2017
FINRA Named CFP Board CE PartnerEffective immediately, nearly 60 of FINRA's e-learning courses will be eligible for CE credits for CFP professionals.
May 30, 2017
IRS Posts Affordable Care Act Tax DataTwo major taxes created by the Affordable Care Act raised $27 billion in 2015.
May 30, 2017
Wall Street May Get New Chance to Gut DOL Fiduciary RuleUnder pressure from Congress, the SEC may be preparing to review the responsibilities that brokers have to their clients.
May 30, 2017
Former Obama Counsel Williams Joins Kirkland & Ellis Reg PracticeErica Williams becomes partner in Government, Regulatory & Internal Investigations Practice Group while Marian Fowler becomes a partner in the Investment Funds Group.
May 29, 2017
When Do Advisors Have Custody Relief?On Feb. 21, the SEC released guidance clarifying when advisors will be deemed to have custody with respect to standing letters of authorization (SLOA).