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 Ex-JPMorgan Advisor With Stealing $20M From Clients
By Janet LevauxMichael Oppenheim told clients he would buy them safe muni bonds but instead lost their money in "highly unprofitable" options trading, the SEC said.
April 16, 2015
FINRA OKs Changes to Communications Rules, Seeks Public CommentFINRA will also file with the SEC to charge a $115 fee for the MSRB's new muni advisor qualification exam.
April 15, 2015
Court blocks PPACA congressional benefits suitA 7th Circuit panel says a senator has no standing to challenge OPM's implementation of the law.
April 15, 2015
Court blocks PPACA congressional benefits suitA 7th Circuit panel says a senator has no standing to challenge OPM's implementation of the law.
April 15, 2015
4 Ways Wealthy People Can Still Hide MoneyGone is the heyday of Swiss bank accounts. Here are four ways to get secrecy, or lower taxes, though rarely both at the same time.
April 14, 2015
DOL Releases Fiduciary PlanThe DOL's long-anticipated, controversial redraft of its rule to redefine fiduciary for retirement plans is now out for public comment.
April 14, 2015
Army Vet Posed as Broker to Bilk Soldiers, SEC SaysLeroy Brown Jr., an Army veteran, is accused of luring service members and other investors with false guarantees to double or triple their money.
April 13, 2015
7 more great accountant jokesThese seven witticisms will make your tax season a little brighter.