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.
Trump Said Likely to Name Hester Peirce as SEC Commissioner
By Ben Bain, Elizabeth Dexheimer, BloombergPeirce, a former SEC counsel and Senate aide, is the Trump administrations likely choice to fill the open Republican seat at the SEC.
June 16, 2017
Las Vegas Firm Busted in Phony LGBT Resort Scam: EnforcementIn other enforcement news, Nationwide, Pershing and FSC Securities all receive FINRA fines.
June 15, 2017
SEC Issues FAQs Guidance on Form ADVThe SEC addresses issues with cross-border investment managers.
June 14, 2017
IBM Releases Watson-Powered Regtech SoftwareIBM has launched a suite of regtech products powered by Watson, IBMs artificial intelligence platform, to help financial services firms manage their growing compliance responsibilities.
June 13, 2017
FINRA Launches Innovation Outreach InitiativeFINRA has established an Innovation Outreach Initiative in an effort to better understand how advances in financial technology affect the industry.
June 13, 2017
FINRA’s Axelrod Warns Financial Industry: Adapt or DieIndustry must meet millennials tech needs if we want to avoid the looming succession cliff.
June 13, 2017
Ex-SEC Chair White’s Chief Legal Advisor Liftik Joins Quinn EmanuelAs partner, he will focus on government and internal investigations, regulatory enforcement defense, securities litigation and cybersecurity.
June 12, 2017
IRS Offers Temporary Portability Election Crisis FixA family will have at least two years after a death to avoid having to ask for a private letter ruling.