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 Wilmington Trust Officers Charged With Fraud
By Marlene Y. SatterMeanwhile, FINRA censured, fined First New York Securities for inadequate insider trading procedures
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.
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.
May 06, 2015
JPMorgan Says U.S. Probing Asset Unit in Sale of Own FundsThe SEC and other groups are looking at the bank's use of proprietary products in its wealth management business.
May 06, 2015
LPL to Pay $12M FINRA Fine for Failing to Supervise SalesFINRA censured and fined LPL for broad supervisory failures involving sales of nontraditional ETFs, VA contracts and nontraded REITs.
May 05, 2015
SEC Chief: Advisor Exam Crunch Is a ‘Serious’ Investor Protection IssueSEC chief White tells senators the current 10% advisor exam rate is cause for "great concern" and discusses fiduciary rules.
May 04, 2015
An SEC Broker Fiduciary Standard May Undermine the ’40 ActIn my March 25 blog on ThinkAdvisor.com, Will She or Won't She? Mary Jo White and the Broker Fiduciary Standard, I voiced some concerns about SEC Chairwoman White's recent remarks at SIFMA's Legal and Compliance Seminar in Phoenix pertaining to the SEC's plans to move forward with a fiduciary standard...
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.