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.
FINRA Earnings Rise as Fines Soar
By Janet LevauxFines rise 85%; pay stays close to $1 million and higher for at least four execs.
July 04, 2017
Trump Administration Rebuffs Challenge to Fiduciary Rule in Appeals CourtU.S. asks Fifth Circuit largely to uphold the rule as regulators move to revise it, or further delay implementation.
July 03, 2017
The Debate Over ‘New Evidence’ and the Fiduciary RuleIn an email to ThinkAdvisor, Harold Evensky had some choice words on a recent Chamber of Commerce study that purported to show the rules harm.
July 03, 2017
What's Next for the DOL Fiduciary Rule?A Morningstar regulatory specialist says changes to enforcement and even a delay in the full rollout date are possible.
June 30, 2017
SEC Charges Oil and Gas Company With Accounting Fraud: EnforcementThe SEC also sanctioned a former COO of Oxford City Football Club in an offering fraud.
June 29, 2017
SEC Probes Morgan Stanley, Barclays Over Puerto Rico BondsFirms underwrote islands $3.5 billion sale in March 2014; was last major issue by island before it declared bankruptcy.
June 29, 2017
Travelers’ Heyman Named FINRA Board ChairHeyman succeeds former Vanguard CEO John J. Jack Brennan.
June 29, 2017
SEC Whistleblower Chief: ‘Be Careful What You Wish For’Jane Norberg defends broad anti-retaliation protections for corporate insiders as the Supreme Court agrees to weigh in.