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, FINRA Enforcement: Former 'Real Housewives' Husband Fined for Naked Short Selling
By Marlene Y. SatterBrokerage firm ITG Inc. and affiliate AlterNet Securities will pay $20.3 million for running secret dark-pool trading desk.
August 13, 2015
CFA criticizes 3 industry arguments against proposed DOL fiduciary ruleThe Consumer Federation of America has targeted 3 arguments made by the financial industry against the proposed DOL fiduciary standard.
August 13, 2015
Don Trone Blasts DOL Fiduciary Plan: Still Wouldn’t Stop MadoffDOLs fiduciary plan does not define a fiduciary standard, just punitive rules,' argues Father of Fiduciary.
August 13, 2015
SEC Hits Edward Jones With $20M Fine Over Muni Bond OverchargesFirm settles on SEC fraud charges that it overcharged customers on new municipal bond sales.
August 13, 2015
SEC use of administrative judges dealt setback: business of lawA U.S. District judge ruled the SEC's appointing of in-house judges is likely unconstitutional.
August 13, 2015
SEC use of administrative judges dealt setback: business of lawA U.S. District judge ruled the SEC's appointing of in-house judges is likely unconstitutional.
August 12, 2015
Perez vows to finalize DOL fiduciary ruleThe new proposal was designed to allow for the flexibility the financial services industry requested, Perez wrote.
August 12, 2015
SEC Must Target Form ADV Changes to Reduce Advisor Costs: IAAIAA tells SEC to focus a 'particularly keen eye' on disproportionate costs to small advisors under its request for more SMA data on Form ADV.