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.
Citi Faces 3 FINRA Fines: Enforcement
By Emily ZulzIn another enforcement action, a purported real estate investment manager settled SEC fraud charges.
February 15, 2017
LPL Fined $900K Over Failure to Send 1.6M Notices to ClientsThe information should have been sent to investors whose accounts were tied to suitability notices over a seven-year period.
February 15, 2017
Former SEC Chair White Returns to DebevoiseMary Jo White is returning to Debevoise and Plimpton as senior chair of the firm.
February 15, 2017
DOL rule, Dodd-Frank up in the air: What now for advisors?If the DOL opts to revamp the fiduciary rule, critics are hoping the revisions will be significant, starting with an overhaul of the best interest contract exemption.
February 15, 2017
DOL rule, Dodd-Frank up in the air: What now for advisors?If the DOL opts to revamp the fiduciary rule, critics are hoping the revisions will be significant, starting with an overhaul of the best interest contract exemption.
February 14, 2017
Texas Securities Firm Expelled, Fined $24.6M Over Fraudulent Energy Deals'Wildcat and other investments reaped Red River and its CEO some $3.6 million, but investors lost most of their money.
February 14, 2017
Morgan Stanley to Pay $8M Over Inverse ETFsSEC says the wirehouse failed to get signed disclosure statements from several hundred clients who bought the "typically unsuitable" products.
February 14, 2017
Yellen Sees More Rate Hikes Needed if Economy Stays on CourseThe Fed chair was delivering her semiannual report on monetary policy to the Senate in her first appearance since Donald Trump was elected president.