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 Announces Compliance Outreach Seminars
By Melanie WaddellThe seminars will cover hot-button issues like cybersecurity, retirement planning and dual registrants.
April 29, 2015
SEC Awards Whistleblower in Paradigm Capital CaseParadigm 'engaged in a series of retaliatory actions against the whistleblower,' the SEC said.
April 28, 2015
Prepare now for next year’s non-cash charitable contributionsOne way to reduce both income tax and the size of an estate is to make charitable contributions of non-cash goods.
April 28, 2015
Prepare now for next year’s non-cash charitable contributionsOne way to reduce both income tax and the size of an estate is to make charitable contributions of non-cash goods.
April 28, 2015
BofA Said to Face SEC Probe Over Customer Protection RulesBank of America is being investigated by the SEC over whether it broke rules designed to safeguard customer accounts, according to the Wall Street Journal.
April 27, 2015
FINRA Charges Avenir Financial With Fraud in Equity Interest Sales to SeniorsAn Avenir broker used $77,000 of investor money for personal expenses, FINRA said.
April 27, 2015
FINRA Chief to Testify in HouseThe House Financial Services Capital Markets Subcommittee will question FINRA CEO Richard Ketchum on May 1. The controversial CARDS plan will be a likely topic.
April 24, 2015
DOL not budging on fiduciary rule comment periodLabor Secretary Thomas Perez says that the current timeline, including a hearing and another chance to comment, is "a long time."