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 Says New York Advisors Falsified AUM to Entice Investors: Enforcement
By Emily ZulzIn other enforcement actions, the SEC charged an oil and gas promoter with misappropriating investor funds.
April 20, 2017
FINRA Senior Helpline Marks Anniversary With $4.3M in ReimbursementsSince helpline launched two years ago, FINRA staff have referred nearly 650 matters to state, federal and foreign regulators.
April 18, 2017
Supreme Court May Clip SEC’s Enforcement PowerA key SEC enforcement tool may soon be reined in by the court.
April 14, 2017
AmeriLife Faces DOL Rule With Two-Track StrategyThe annuity distributor has set up an RIA, and it has also applied for financial institution status.
April 14, 2017
Morgan Stanley Fined $1 Million Over Loan Sales Incentives: EnforcementIn other enforcement actions, the SEC charges two lawyers and a paralegal in a stock manipulation scheme.
April 13, 2017
Raymond James to Pay $150M Over Ski Resort-Green Card ScamA former Raymond James advisor solicited funds from EB-5 investors for a Vermont ski resort, then misused the money, the SEC said.
April 13, 2017
Morningstar Pushes Change in DOL Fiduciary Rule EnforcementThe fund rating agency suggests a third-party audit of firms big data to check if individual portfolios are providing a best interest standard of advice.
April 13, 2017
What to Do When the DOL Comes KnockingThe auditors could come after health plans, retirement plans, or all plans.