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 Advisor With Stealing $900K From a Client: Enforcement
By Emily ZulzIn other enforcement news, a forex trader is accused of bilking clients and spending some of their cash at McDonald's, Victoria's Secret and Gymboree.
February 22, 2017
Fed Officials See Rate Hike ‘Fairly Soon,’ Minutes ShowFed officials expressed confidence they can raise interest rates gradually, while a hike fairly soon might be appropriate to avoid overheating the economy.
February 22, 2017
BD Must Repay Tribe $3.4M, Pay $750K FINRA FineAn advisor that sold $190 million in nontraded REITs and BDCs has yet to resolve charges with the regulator.
February 22, 2017
SEC Issues No-Action Letter on Advisors’ ‘Imputed Custody’Letter is a significant development that should bring much-needed clarity to advisors, said IAAs Grossman.
February 21, 2017
OMB Looks Ready to OK Delay of Fiduciary RuleA delay of the rule's implementation could become effective as early as this week, regulatory watchers say.
February 20, 2017
What Will New Financial Choice Act Look Like?A memo from Rep. Jeb Hensarling is full of changes to his sweeping financial bill, but industry insiders see a tough sell in the Senate.
February 17, 2017
DOJ Files to Halt Thrivent Case Against DOL Fiduciary RuleMeanwhile, Judge Daniel Crabtree, in the case brought in Kansas, denied Market Synergy's motion for summary judgment.
February 17, 2017
NASAA, SEC Sign Crowdfunding Agreement as Rules Kick InMOU allows federal and state securities regulators to monitor the effects of new rules and guard against fraud.