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’s ability to deliver true fiduciary standard in doubt: Report
By Melanie WaddellOfficial comments depict a new and benign view of conflicts, says Institute for Fiduciary Standard
April 08, 2015
SEC Charges Pacific West Capital With Life Settlement FraudPacific West and its owner hid and minimized "risks in order to sell more life settlements," the SEC said.
April 07, 2015
SEC Reviewing 12b-1 FeesThe SEC is reviewing the entire spectrum of 12b-1 fees, the deputy exam director said Tuesday.
April 07, 2015
Ex-NFL Player Accused of Ponzi Scheme: SECA former New England Patriot and a partner are accused of bilking investors who thought they were funding loans to pro athletes.
April 07, 2015
SEC Exam Chief Bowden to ExitThe OCIE head, Andrew Bowden, will return to the private sector.
April 06, 2015
SEC Busts $12M FCC Cell Phone SchemeSEC alleges that investors were promised potentially lucrative returns based on FCC spectrum licenses.
April 06, 2015
IRS makes 401(k) auto enrollment easierNew safe harbor procedures allow sponsors to correct missed deferrals without having to notify the IRS.
April 06, 2015
IRS makes 401(k) auto enrollment easierNew safe harbor procedures allow sponsors to correct missed deferrals without having to notify the IRS.