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 Panel: 2 Big Problems With Advisor Background Checks
By James J. GreenInvestors dont check advisor and rep backgrounds, and the data itself can be problematic.
April 09, 2015
SEC Chief: Fiduciary, Third-Party Audit Rules to Advance This YearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
April 08, 2015
SEC’s ability to deliver true fiduciary standard in doubt: ReportOfficial comments depict a new and benign view of conflicts, says Institute for Fiduciary Standard
April 08, 2015
SEC’s ability to deliver true fiduciary standard in doubt: ReportOfficial comments depict a new and benign view of conflicts, says Institute for Fiduciary Standard
April 08, 2015
SEC says Pacific West misled investors about life settlementU.S. regulators sued Pacific West Capital Group Inc. over claims it made false promises to clients.
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.