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.
When Managing Trading Data, Ditch the Spreadsheet
By Danielle AndrusAs technology has made trading more advanced, its also put more pressure on firms to manage and store all that data.
August 19, 2015
Sons of Indicted Swiss Financial Adviser Keep Business in the FamilyAfter his indictment, Josef Becks directors formed another company to manage money for American citizens, records show.Photographer: Jason Alden/BloombergA few weeks after his indictment, Josef Becks directors formed another company to manage money for American citizens, records show
August 14, 2015
Witness says brokers try to pass themselves off as fiduciariesTestimony details retiree horror stories during hearings on DOL fiduciary rule.
August 14, 2015
Witness says brokers try to pass themselves off as fiduciariesTestimony details retiree horror stories during hearings on DOL fiduciary rule.
August 14, 2015
The estate tax dodge that went too farWealthy people have lots of ways to avoid the estate tax. But a federal judge says one family got a little too creative in dodging its tax bill.
August 14, 2015
SEC, FINRA Enforcement: Former 'Real Housewives' Husband Fined for Naked Short SellingBrokerage firm ITG Inc. and affiliate AlterNet Securities will pay $20.3 million for running secret dark-pool trading desk.
August 14, 2015
Why the proposed DOL fiduciary rule could lead to an agent exodusPast MDRT President Phillip Harriman says Washington's zeal for new policies and procedures is making retirement planning more complex and confusing for consumers.
August 14, 2015
Why the proposed DOL fiduciary rule could lead to an agent exodusPast MDRT President Phillip Harriman says Washington's zeal for new policies and procedures is making retirement planning more complex and confusing for consumers.