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.
November 27, 2024
Are Small-Business Clients Ready for This Looming Deadline?Treasury's BOI reporting deadline is coming up, and penalties for violation are steep.
November 27, 2024
Atkins, Ex-SEC Commissioner, Could Succeed GenslerTrump is expected to make a pick in the coming days, but no decision has yet been made.
November 27, 2024
More Than 60 Brokers Hit With FINRA Sanctions Over CE CheatingAnother individual completed the required training on the brokers' behalf, FINRA says.
November 27, 2024
Court Strikes Down SEC Dealer Rule: SEC RoundupThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.
November 26, 2024
Robinhood’s Gallagher Drops Out of SEC Chair ConsiderationThe ex-SEC commissioner, now Robinhood's chief legal officer, said he's "committed" to the firm's millions of customers.
November 26, 2024
Leech Shunted $600M to Favored Portfolios: SEC, DOJThe former co-chief investment officer for Western Asset Management, 70, could face 20 years in prison.
November 25, 2024
SEC Sanctions Hit New High at $8.2B in 2024Marketing Rule violations resulted in settled charges against more than a dozen advisors.
November 25, 2024
Ex-LPL Rep Let Business Partner Sign for Customers: FINRABrenton Charles Schmidt signed the documents after his business partner signed for the customer, according to the regulator.
November 25, 2024
Trump Picks Lori Chavez-DeRemer as Labor SecretaryShe co-sponsored the PRO Act, which makes it harder for companies to classify staff as independent contractors.
November 22, 2024
Court Limits FINRA's Power to Expel BrokeragesThe SEC must weigh in before FINRA can cast out one of its members, according to a court of appeals.