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.
Jay Clayton — Wall Street's Top Cop: The 2017 IA 25
By Melanie WaddellGroups press the new SEC chief to prioritize a fiduciary rule; appointing staff will be among his top tasks.
May 08, 2017
Munger Says Fellow Republicans Are ‘Bonkers’ for Taking Away Bank RegulationsHe says banks need to act in a "careful, standardized way"; Trump has called Dodd-Frank regulation a "disaster."
May 05, 2017
FINRA Mulls Heightened Oversight of High-Risk BrokersAt its May 10 meeting, the board also plans to consider issuing more guidance on unpaid arb awards.
May 05, 2017
SEC, FINRA to Host BD Compliance Outreach SymposiumTopics range from cybersecurity to investing by seniors.
May 05, 2017
FINRA Safe Harbor Doesn’t Save Barclays From Big SEC FineThe agency is breaking new legal ground in the action against Barclays over two brokers who charged excessive markups, Cipperman Compliance Services says.
May 04, 2017
Under Clayton’s SEC, Hefty Fines for Inadvertent Errors May Be Status QuoTwo big fines on fund advisors regrading paying 12b-1 distribution fees call into question just how lenient the current SEC is willing to be.
May 04, 2017
R. Alexander Acosta — Fiduciary Foreman: The 2017 IA 25The new Labor secretary could lead the unwinding, and potentially killing, of Labors fiduciary rule, which was six years in the making.
May 03, 2017
Obama Holdover at Bank Agency Ousted by Trump AdministrationMnuchin names banking lawyer to run OCC on temporary basis.