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, DOL Enforcement: Salsa-Dancing Day Trader, Analyst Charged With Insider Trading
By Marlene Y. SatterMeanwhile, SEC charged three more individuals in a penny stock manipulation case it filed last year.
November 04, 2015
FSI urges advisors to prepare for ‘post-DOL world’The organization spells out what many changes will look like as new fiduciary rules move forward in Washington.
November 04, 2015
SEC Gives Whistleblower $325,000 AwardThe award could have been higher had the whistleblower not waited until after leaving the firm to come forward, the SEC said.
November 04, 2015
Cybersecurity Enforcement Has Begun, Expert WarnsBrokerage firms are a prime target of criminal cybersecurity," says FINRA enforcement official, while SEC says RIAs and BDs must have "reasonable...safeguards in place."
November 04, 2015
Deadlock: Why the SEC’s Stalled on a Fiduciary Standard for BrokersThe views of the departing SEC commisioners capture the essence of the current fiduciary debate.
November 03, 2015
Fenway Partners PE Firm, Execs Fined by SEC on Failure to Disclose FeesIn continued SEC crackdown on private equity, Fenway Partners, four of its executives settle SEC conflict-of-interest and breach-of-fiduciary charges.
November 03, 2015
FINRA’s CARDS Plan Dead on Table: AxelrodWere going to continue to use data to help inform our exams, FINRAs Susan Axelrod said.
November 03, 2015
Riskalyze Combines 3 Products in Real-Time PlatformOne new feature: In a click, advisors will be able to certify that they have fulfilled all their fiduciary responsibilities.