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’s Bid to Slash Regulations Faces Bureaucratic Roadblocks
By Todd Shields, Jennifer A. DlouhyExperts say killing a regulation is not as simple as it seems.
January 27, 2017
SEC Busts ‘Hamilton’ Ticket Resale Ponzi SchemeSEC accuses two New Yorkers of running a Ponzi scheme with money raised from investors to purchase and resell tickets to high-demand shows.
January 27, 2017
Morgan Stanley to Cut Fees, Keep Commissions Despite DOL DoubtsWhile speculation about the fiduciary rule abounds, the wirehouse insists it will decrease conflicts of interest and redundant offerings.
January 27, 2017
Piwowar Named Acting SEC ChairmanWith former SEC chief White's departure at the end of the Obama administration, the SEC now has two commissioners.
January 27, 2017
How to (Legally) Settle Disputes With ClientsThese are the essential points in resolving a client dispute without suiting up for court or arbitration.
January 26, 2017
Brokerage Charged With Ignoring Signs of Pump-and-Dump Scheme: SEC EnforcementThe SEC also charged Morgan Stanley and Citigroup with misleading investors about a forex trading program.
January 26, 2017
DOL Fiduciary Rule Inspires New Alphabet Soup of Fund SharesJanus has filed with the SEC to launch P and Z shares.
January 26, 2017
Citi Agrees to Pay $18.M to SEC Over Excess Fees on Managed AccountsThis repayment and fine come two weeks after a similar settlement with New York officials.