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.
Senate Banking Chair Supports FINRA360, Hopes for Further Fiduciary Rule Delay
By Melanie WaddellSenate Banking Committee Chairman Mike Crapo wants to see further delay of Labor's fiduciary rule to let SEC "deal with the issue."
May 15, 2017
FINRA Seeks Comments on Outside Business Activities, Private SecuritiesFINRA is seeking feedback from member firms on rules governing broker-dealer employees business and securities activities carried out away from their firm.
May 12, 2017
SEC Charges CEO With Failing to Disclose Perks: EnforcementThe SEC also charged a law firm partner in a $1 million insider trading scheme.
May 11, 2017
FINRA to Clamp Down on High-Risk Brokers With Tougher RulesThe group is looking to raise fees, consider more severe sanctions and further restrict firm and advisors with disciplinary issues.
May 10, 2017
Ex-Simpson Thacher Partner to Head SEC DivisionWilliam Hinman has been named the head of the Division of Corporation Finance at the SEC.
May 10, 2017
Robert Cook — BD Regulator in Chief: The 2017 IA 25While FINRA stands ready to fill advisor exam gap, Cook is unlikely to initiate a new battle for advisor oversight, says an ex-FINRA enforcement chief.
May 09, 2017
SEC Fines Former Staffer for Ethics ViolationsDavid R. Humphrey concealed personal trading from SECs ethics office and misrepresented his trading activities, the agency says.
May 09, 2017
CFPs Can Now Earn CE Credits Under IRS Tax Prep ProgramsCredits can be earned for the Volunteer Income Tax Assistance or Tax Counseling for the Elderly program.