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.
Barclays, Credit Suisse Fined $154M Over Dark Pool Violations
By Melanie WaddellThe SEC and the New York Attorney General slammed the firms for making misrepresentations about their trading venues to investors.
January 29, 2016
Enforcement: Hedge Fund to Repay Nearly $3M for Hiding Losses From InvestorsGoldman Sachs was censured and fined $15M by the SEC for violating Regulation SHO.
January 29, 2016
DOL Fiduciary Rule Lands at OMB for ReviewSIFMA urges OMB to put the rule through a "comprehensive" cost-benefit analysis.
January 27, 2016
Debate on Fiduciary Is Over; Battle for ‘Best Interest’ Rages OnThe debate on fiduciary duties ended with the DOL rule win. The battle continues over the meaning of fiduciary and best interest.
January 27, 2016
Convicted Inside Traders Look to Supreme Court for RedemptionSome 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 27, 2016
SEC’s Former IM Director Champ to Join Kirkland & EllisSince leaving the Commission, Champ has criticized the SECs planned rule to require third-party advisor audits.
January 26, 2016
FSI Vows to Continue Fighting DOL Fiduciary RuleDale Brown: Were not ruling out any actions to stop rules implementation. David Bellaire: Rule will do irreparable harm to investors.
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.