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.
FINRA to Examine BDs for Conflicts of Interest
By Melanie WaddellWith compliance costing the industry $300 billion since 2010, the self-regulator wants BDs to answer questions on "cultural values" in a targeted exam.
February 17, 2016
SEC Seeks Feedback on BD Liquidation RuleAdvisors and others have 60 days to share their thoughts on how failing broker-dealers should be liquidated.
February 16, 2016
SEC Issues Crowdfunding AlertOn May 16, companies will be able to use crowdfunding to sell securities to the public. The SEC offers investors a primer.
February 16, 2016
Why Trump and Sanders Matter to Financial AdvisorsBoth voters and investors are showing their loss of trust and confidence in established institutions, Knut Rostad writes.
February 12, 2016
SEC Enforcement: Fake Broker Charged With Selling Phony Stock to Pay Gambling DebtIn another action, the SEC barred an advisor who was sanctioned by the state of New Hampshire over unsuitable recommendations of risky ETFs.
February 11, 2016
California regulators say they're investigating ZenefitsDave Jones emphasized the importance of laws governing the training and licensing of insurance agents.
February 11, 2016
FINRA Bars 2 Brokers in Hedge Fund FraudBrokers told investors the fund was a "growth" fund with risk controls when in reality it was a "highly speculative investment," FINRA says.
February 11, 2016
Sen. Warren Accuses Annuity Providers of Double Talk on DOL Fiduciary RuleWarren tells OMB that despite insurers' public "doomsday" predictions about the DOL fiduciary rule, investors are told that all is rosy.