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.
Ex-New York Governor, Music Producer Caught in SEC Action
By Melanie WaddellThree executives were charged with defrauding investors in a purported project to construct the largest movie studio in North America.
September 23, 2016
4 SEC Exam Priorities Advisors Need to Know: Brian HamburgerThe MarketCounsel CEO highlights the exam priorities that the SEC has shown by their actions, not by their words.
September 22, 2016
DOL Fiduciary Rule’s Cost for 9 Investment Advice Players: From IBDs to RIAsA.T. Kearney study sees big asset shifts across formats with IBDs getting walloped.
September 22, 2016
SEC Accuses Omega’s Cooperman of Insider Trading in AtlasThe SEC said that Leon Cooperman, 73, earned about $4 million by buying securities before the sale of a company asset in 2010.
September 21, 2016
IRI study to examine reasonable compensation under DOL ruleThe survey will seek to determine compensation trends in the market to help advisors adhere to reasonable compensation requirements.
September 21, 2016
IRI study to examine reasonable compensation under DOL ruleThe survey will seek to determine compensation trends in the market to help advisors adhere to reasonable compensation requirements.
September 21, 2016
FINRA Fines, Suspends Avenir Financial Group, Bars Former CEOFINRA fined Avenir $229,000 and took action against its former CEO for misconduct including fraudulent sales.
September 20, 2016
DOL Fiduciary Rule Causes Pullback on Sale of Annuities, Funds by InsurersState Farm Insurance says it will not accept liability on the future sale of annuities or mutual funds.