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.
LPL Hires JPMorgan’s Calder as Deputy Chief Risk Officer
By Melanie WaddellCalder hired for her "extensive knowledge and experience with large, complex organizations and regulatory matters," LPL says.
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.
January 15, 2016
SEC Slams RIA for 12b-1 ViolationsAdvisors at Everhart Financial Group "nearly always" invested non-retirement individual advisory accounts in shares that charged a 12b-1 fee, the SEC says.
January 15, 2016
SEC, FINRA Enforcement: State Street to Pay $12M Over Pay-to-Play ViolationsThe SEC also charged 11 former executives and board members of a now-defunct bank with fraud for hiding loan losses during the financial crisis.
January 14, 2016
Why the 1095-C PPACA form launch could make you moneyYou specialize in helping clients think about awful things. Here's something awful.
January 14, 2016
Goldman Fined $15M by SEC Over Reg SHO Violations"The requirement that firms locate securities before effecting short sales is an important safeguard against illegal short selling," said SEC's Ceresney.