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.
What's Next for Crypto Coins as SEC Tames Wild West of Finance
By Camila RussoPrices of most tokens steady as U.S. asserts jurisdiction; companies have been bypassing traditional public offerings.
July 27, 2017
Deutsche Bank, JPMorgan Among Firms Fined $4.75M for Market Access ViolationsThe firms violated various provisions of the SECs Market Access Rule and related exchange supervisory rules.
July 26, 2017
Wells Fargo FiNet Adds 2 Merrill Teams in California: Recruiting RoundupAs the bank's recent data leak grabs headlines, Dynasty Financial brings on one of its former reps and staff.
July 26, 2017
FINRA Names Schroeder New Enforcement Head, Plans New UnitThe unit will ensure a "uniform approach to charging and sanctions" and help FINRA "better target developing issues."
July 26, 2017
‘Greater Clarity’ Needed on SEC, DOL Fiduciary Rules: ClaytonWere in a position where we could have different standards for the individual investor that doesnt seem right, the SEC chief said.
July 24, 2017
44% of Americans Don’t Know When the Fed Last Raised Rates: WalletHubA WalletHub survey aims to see how much the general public knows about the Fed.
July 24, 2017
Critics of DOL Fiduciary Rule Push for Long DelaysDespite a potential delay, ERISA attorneys offer a compliance checklist for advisors.
July 24, 2017
White House Sends Peirce SEC Nomination to SenateIf confirmed, Mercatus fellow Hester Peirce would be the second Republican member of the Commission.