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 Oil and Gas Company With Accounting Fraud: Enforcement
By Emily ZulzThe SEC also sanctioned a former COO of Oxford City Football Club in an offering fraud.
June 29, 2017
SEC Whistleblower Chief: ‘Be Careful What You Wish For’Jane Norberg defends broad anti-retaliation protections for corporate insiders as the Supreme Court agrees to weigh in.
June 28, 2017
Ex-NBA Star Tim Duncan’s Former Advisor Sentenced to PrisonCharles Banks also must pay retired San Antonio Spurs forward millions in restitution.
June 28, 2017
SEC Cyber Enforcement Likely to Make Advisors, BDs WannaCryEnforcement actions for failures to protect against cyber threats appear to be an issue everyone at the SEC can get behind.
June 27, 2017
SEC Moving Forward on Fiduciary Rule, Clayton SaysThe SEC chairman tells Congress that he will coordinate the agencys fiduciary rule with Labors version.
June 26, 2017
Summer Tax Scams in Full Swing, IRS WarnsTax pros are also being warned of phishing emails seeking extensive amounts of sensitive preparer data.
June 26, 2017
Advisor Gets 2 Years in Prison for Cherry-Picking SchemeSEC 10b-5 charges to allow for criminal prosecution appear to have influenced the decision.
June 23, 2017
SEC Candidate Favors New Life Regulatory StrategyHester Peirce has suggested that a single-state approach might beat the current multi-state strategy.