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 to Discuss Accredited Investor Definition, Reg D Offerings
By Melanie WaddellThe SEC Advisory Committee on Small and Emerging Companies will meet May 18 to discuss these issues.
May 08, 2016
Insurers work to implement new fiduciary ruleCompany executives on Thursday shared early observations about how the new fiduciary rule may impact major insurers and financial services firms.
May 06, 2016
Fred Reish: The Go-To ERISA Expert — The 2016 IA 25Attorney Fred Reish has been steeped in ERISA law since "before there was an ERISA."
May 06, 2016
Watchdog finds IRS still struggling with PPACA form processingThe IRS had identified 18,693 potentially fraudulent returns as of July 23, 2015.
May 06, 2016
SEC Highlights Its Cybersecurity EffortsSEC officials addressed three major cyber enforcement priorities, along with insider trading and financial reporting, at the Rocky Mountain Securities Conference.
May 06, 2016
SEC Commissioner Calls for New ‘Disclosure Paradigm’The SEC wants to reimagine disclosure and how information can be exchanged between companies and investors, Commissioner Kara Stein said.
May 06, 2016
Enforcement: The ‘Brown Bag Man’ and the Insider Trading TechieThe SEC charged 10 in a stock promoting scheme involving bribery and kickbacks, and it won an insider trading case against a Silicon Valley exec.
May 04, 2016
SEC Charges 2 Fake Brokers, Ex-Broker in Investor FraudThe two fake brokers lured investors with lavish parties and a false sense of urgency around the investment, the SEC said.