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 urged to beef up FINRA oversight: GAO
By Melanie WaddellSEC is falling short on supervision of the self-regulator in three areas.
April 30, 2015
Blowing the Whistle? SEC Has Your Back, Chief White Says"We have seen enough to know that whistleblowers increase our efficiency and conserve our scarce resources," SEC Chief White said.
April 30, 2015
SEC Announces Compliance Outreach SeminarsThe seminars will cover hot-button issues like cybersecurity, retirement planning and dual registrants.
April 29, 2015
SEC Proposes Executive Comp Disclosure RulesThe proposed rules are out for a 60-day comment period.
April 29, 2015
SEC Releases Cybersecurity Guidance for RIAsSEC's Division of Investment Management released guidance to help advisors and funds address cyber risks.
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.