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.
Enforcement: 'Frack Master' Charged With Taking $30M From Investors
By Marlene Y. SatterMeanwhile, an Omaha advisor was suspended and charged in a scam involving annuities.
June 30, 2016
Ex-billionaire Wyly’s Dallas mansion slipping away in courtWyly wants to keep the property under a Texas homestead law intended to keep people from winding up homeless after filing for Chapter 11 protection.
June 30, 2016
4 Useful Hacks for the SEC’s IAPD Disclosure SiteThese IAPD tips can be as valuable to you and your firm as they are to investors checking you out.
June 29, 2016
Celebrate July 4 — and Speak Out for FiduciariesEnjoy the barbecue, and also vow to speak out and help ensure industry lobbyists dont become the public face of fiduciary advisors.
June 29, 2016
DOL Fiduciary Rule May Need Some Tweaks: BorziDOL won't make big changes but will clarify some matters with additional guidance, says the rule's main architect, Phyllis Borzi.
June 29, 2016
American Equity CEO's lament for 50 percent share plunge: oil, Brexit and regulationJohn Matovina said the market has overreacted to uncertainty created by the DOL fiduciary rule.
June 29, 2016
American Equity CEO's lament for 50 percent share plunge: oil, Brexit and regulationJohn Matovina said the market has overreacted to uncertainty created by the DOL fiduciary rule.
June 29, 2016
FINRA Fines Deutsche Bank $6M for Bad, Late Trading DataThe failures in the firm's blue sheet data systems involved over 1 million trades from 2008 to 2015.