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.
Outsourcing Compliance Officer Role Can Be Rife With Risk: SEC
By Melanie WaddellSEC exam division urges advisors employing outside compliance providers to be especially mindful of their obligations under the SECs compliance rules.
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.
November 06, 2015
SEC, DOL Enforcement: Salsa-Dancing Day Trader, Analyst Charged With Insider TradingMeanwhile, SEC charged three more individuals in a penny stock manipulation case it filed last year.
November 06, 2015
Scottish Trader's Tweets Sent Stocks Reeling: SECSEC charged a Scottish trader with securities fraud for sending false tweets that sent two stocks tumbling and halted trading in another.
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
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.