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.
Fed’s Lockhart says rate liftoff case is ‘compelling’
By Steve MatthewsHe says the economy seems to be closing in on full employment.
November 24, 2015
A legal requirement that is also good businessHIPAA has been around since 1996, but the rise of mobile has caused data security to take on a new level of urgency for advisors.
November 24, 2015
Ex-Morgan Advisor, in Unusual Move, Takes FINRA Arb Case to Federal CourtFew advisors appeal a FINRA promissory-note ruling because the odds of winning are slim; however, Laurie Facsinas case is different from most.
November 24, 2015
Third-Party Advisor Audits Could Be a Disaster: Norm ChampChamp, a former SEC Investment Manangement director, looks at other cases in which SEC outsourced its authority with "disastrous results."
November 24, 2015
What's Worse Than the SEC's Revolving Door?The problem: How to get qualified nominees with expertise in areas relevant to regulating capital markets and publicly traded corporate entities to be SEC Commissioners?
November 23, 2015
The DOL's fiduciary rule: A contrarian viewThe Financial Planning Coalition is urging Congress not to block the DOL fiduciary rule.
November 20, 2015
SEC, FINRA Enforcement: Bob Marley’s Son’s Coffee Company Faces Pump-and-Dump ProbeMeanwhile, Deutsche Bank Securities hit with $1.4M fine for short interest reporting rule violations.
November 20, 2015
IRS, Treasury Continue Tax Inversion CrackdownBut only legislation can decisively stop inversions, Treasury Secretary Jack Lew says.