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.
F-Squared Pays SEC $35M Fine to SEC for Misleading Performance Advertising
By Emily ZulzSEC says F-Squared's AlphaSector used back-tested performance data that mistakenly inflated results by 350%, not actual performance numbers.
December 19, 2014
GOP to Warren: Dodd-Frank rollback was just the appetizerRep. Yoder wants to block funding for a planned SEC reg to protect pension funds from getting investment guidance from advisers with conflicts of interest.
December 18, 2014
In Broker Harmonization Debate, the SEC Is the Real ProblemThe current debate over the regulation of brokers and investment advisors has been raging for almost four years now, ever since President Obama signed the Dodd-Frank Act into law back in 2010.
December 17, 2014
Enforcement: Nationwide to Pay $140M in 13-Year ERISA SettlementIn another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
December 16, 2014
FINRA Penalizes Merrill $2.4M Over Pricing of GM NotesThe fine and restitution are tied to markdowns of more than 10% paid to several hundred clients over two years.
December 16, 2014
Eye on Congress, the courts and regulators: 6 questions answeredOringer says the administration is sending mixed signals about how retirement assets should be invested.
December 16, 2014
Eye on Congress, the courts and regulators: 6 questions answeredOringer says the administration is sending mixed signals about how retirement assets should be invested.
December 15, 2014
Investors Say No to FINRA’s CARDS Plan"Data from this survey reveals that investors have serious concerns about the CARDS proposal and the risks such a system could pose to their privacy," says SIFMA CEO Bentsen.