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.
Convicted Inside Traders Look to Supreme Court for Redemption
By Patricia Hurtado, Greg FarrellSome of U.S. Attorney Preet Bhararas biggest catches in a seven-year insider-trading sweep are clinging to one more hope of clearing their names.
January 26, 2016
DOL’s Perez: Fiduciary Rule to Be Wrapped Up in ‘Coming Months’Labor Secretary Thomas Perez also said the White House plans to push for auto-IRAs and boost MEPs in its upcoming 2017 budget.
January 25, 2016
LPL Hires JPMorgan’s Calder as Deputy Chief Risk OfficerCalder hired for her "extensive knowledge and experience with large, complex organizations and regulatory matters," LPL says.
January 25, 2016
Will SEC Fiduciary Rule Address ‘Best Execution’ Quandary? Probably NotWhile rulemaking would be the best approach, the SEC will continue to address through enforcement advisors' fund share class selection and so-called best execution duties.
January 21, 2016
Enforcement: SEC Awards Company Outsider $700,000 Whistleblower AwardMeanwhile, FINRA fines Capital Securities Management and orders firm to pay restitution over sales of reverse-convertible notes to seniors.
January 20, 2016
Voya says DOL contradicts itself with state-run safe harborVoya is saying that the Department of Labor is contradicting itself by proposing a state-run safe harbor.
January 20, 2016
Ex-SEC Commish Gallagher Joins Regulatory Firm Patomak as PresidentFormer SEC Commissioner Daniel Gallagher is now president of regulatory consulting firm Patomak Global Partners in Washington.
January 15, 2016
Steve Cohen Will Be Back in 2018. That's Good.Since shuttering SAC, his Point72 family office has far outperformed, so maybe hes good for the industry and investors even without the alleged insider trading.