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 Busts Businessman, Firms in Initial Coin Offering Scam
By Melanie WaddellREcoin Group Foundation and DRC World (also known as Diamond Reserve Club) claimed their coins were backed by real estate and diamonds.
September 29, 2017
SEC Nabs 3 Brokers for Excessive TradingThe SEC also charged an investment advisory firm and its owner with lying about experience and past performance.
September 29, 2017
SEC to Gather Data on Unregistered Advisors, BrokersThird-party advisor exams are not a bad idea, SEC chief Jay Clayton said, but its not front of my mind right now.
September 28, 2017
Lynn Tilton Wins SEC Fraud Trial She Worked Hard to AvoidThe Patriarch Partners founder called the proceeding unfair after the SEC sued her over claims she defrauded investors.
September 28, 2017
Sweeping Cybersecurity Regulations Unlikely in Congress: Rep. HimesBoth Himes and an FBI agent called for international cybesecurity norms during a conference in New York.
September 26, 2017
5 Financial Professional Ideas for Improving the DOL Fiduciary RuleSome industry commenters have suggestions beyond just putting it through a shredder.
September 26, 2017
SEC ‘Pushing’ for Fiduciary Rule, Clayton SaysHarmonizing a rule with the Labor Department is a priority, Clayton tells senators, who also grilled him on the recent EDGAR hack.
September 26, 2017
Building the New Berlin Tax Wall: Treasury’s Anti-Inversion RegulationsThe analogy of U.S. corporate tax policy is the Berlin Wall, because it clearly illustrates the melding of bad policy and all-but-certain failure.