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 official calls White House memo on broker rules ‘propaganda’
By Dave MichaelsWall Street trade groups say they plan to lobby furiously against a DOL proposal on retirement accounts.
February 20, 2015
SEC Chief to Break Her Silence on Fiduciary in ‘Short Term’SEC has been providing "technical assistance" to the DOL on its fiduciary rulemaking, Chairwoman Mary Jo White said Friday morning.
February 19, 2015
Under the Hood: The US Fractional Reserve Banking SystemThe history of money, how it's valued and how leveraging bank deposits creates additional capital.
February 19, 2015
SEC, FINRA Enforcement: Fake Hedge Fund Manager Seeks His Perfect MatchThe SEC has charged Moazzam Malik with stealing investor money to pay for a matchmaking site membership and Harvard classes, among other expenses.
February 19, 2015
Online Broker Folio Acquires BUYandHOLD BusinessThe group is led by ex-SEC Commissioner Steve Wallman.
February 19, 2015
FINRA’s 5 Biggest Fine Categories in 2014FINRA fines more than doubled in 2014 even as the regulator filed fewer cases, according to the law firm Sutherland Asbill & Brennan.
February 19, 2015
Wall Street steps up attack on 401(k) broker ruleA new memo written by a high-powered New York law firm outlines purported roadblocks the DOL's rule would pose to Americans ability to retire.
February 19, 2015
Wall Street steps up attack on 401(k) broker ruleA new memo written by a high-powered New York law firm outlines purported roadblocks the DOL's rule would pose to Americans ability to retire.