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 Charges CEO With Failing to Disclose Perks: Enforcement
By Emily ZulzThe SEC also charged a law firm partner in a $1 million insider trading scheme.
May 10, 2017
Robert Cook — BD Regulator in Chief: The 2017 IA 25While FINRA stands ready to fill advisor exam gap, Cook is unlikely to initiate a new battle for advisor oversight, says an ex-FINRA enforcement chief.
May 09, 2017
SEC Fines Former Staffer for Ethics ViolationsDavid R. Humphrey concealed personal trading from SECs ethics office and misrepresented his trading activities, the agency says.
May 09, 2017
CFPs Can Now Earn CE Credits Under IRS Tax Prep ProgramsCredits can be earned for the Volunteer Income Tax Assistance or Tax Counseling for the Elderly program.
May 09, 2017
Jay Clayton — Wall Street's Top Cop: The 2017 IA 25Groups press the new SEC chief to prioritize a fiduciary rule; appointing staff will be among his top tasks.
May 08, 2017
GMO’s Grantham Sees Boom in Corporate Profits — for NowBut the corporate establishment's thirst for deregulation may be misguided in the long term, the chief investment strategist says.
May 08, 2017
NAFA Launches Campaign to Stop DOL Fiduciary Rule"NAFA is pulling out all the stops to try to prevent any part of this rule going live on June 9," says the group's director.
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."