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 Charges Radio Hosts With Misleading Life Settlement Investors
By Melanie WaddellThe Texas-based hosts falsely told investors that interests in life settlements they sold were guaranteed, safe as CDs and federally insured, the SEC says.
May 08, 2015
SEC’s White ‘Proud of Progress’ at CommissionMary Jo White told attendees at the Rocky Mountain Securities Conference that she was proud of the progress the SEC has made in reducing risk to investors.
May 08, 2015
Wagner wages war over DOL ruleThe second-term Republican congresswoman calls the Department of Labor's recent proposal "another instance of top-down, Washington-knows-best approach."
May 08, 2015
Wagner wages war over DOL ruleThe second-term Republican congresswoman calls the Department of Labor's recent proposal "another instance of top-down, Washington-knows-best approach."
May 08, 2015
SEC, FINRA Enforcement: Former Wilmington Trust Officers Charged With FraudMeanwhile, FINRA censured, fined First New York Securities for inadequate insider trading procedures
May 08, 2015
AALU: Life industry facing a 'bloody battle' over DOL's fiduciary ruleAt the AALU's closing general session on Tuesday, members of AALU's advocacy teams warned of coming fights in Washington.
May 07, 2015
SEC: CCO Should Have Active Role in CybersecurityWhile a cyberattack is not a matter of "if" but "when," catastrophic attacks are unlikely, security expert Ronald Rowe said in an ICI panel discussion.
May 06, 2015
How to review IRS Form 1040, line by lineIf you're familiar with this part of the tax code, you may have a stronger value proposition for the higher-net-worth client.