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 Hit With Lawsuit Over Texting Sweep
By Melanie WaddellA trade group says the SEC was unclear on how penalties were calculated and why it targeted certain firms.
June 05, 2024
'Roaring Kitty' GameStop Trades Under Investigation in Mass.The investigation comes on top of a threat by E-Trade to ban the meme stock trader.
June 04, 2024
SEC to Shutter Salt Lake Regional OfficeThe closing of the Utah center, the agency's smallest, will reduce the number of such offices to 10.
June 04, 2024
House Spending Bill Cuts SEC Budget, Curbs CAT Data CollectionThe legislation would also block enforcement of the unpopular Staff Accounting Bulletin 121 on digital assets.
June 03, 2024
TD Bribery Woes Spread to Florida as New Allegations SurfaceA now ex-bank branch worker near Miami allegedly took a series of $200 bribes to help clients move millions to Colombia.
June 03, 2024
Morgan Stanley Loses Another FINRA Fight Over Deferred CompThe order comes as the firm seeks court intervention in a saga involving deferred compensation "clawback" litigation.
June 03, 2024
Medicare Plan Pay Confusion Could Wreck 2025 Enrollment, Lawsuits WarnDistributors say they need certainty by July to make agent hiring, marketing and advertising decisions.
May 31, 2024
Will an Ex-Fidelity Advisor's Reg BI Suit Catch the SEC's Eye?The case could have implications for the broader financial services industry, lawyers say.