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.
What to Do When the Examiners Visit Your Practice
By James J. GreenAdvisors love to learn from other advisors, which is why about 75 of them showed up early for a compliance session at Commonwealth's national conference.
October 27, 2014
House Dems Call for SEC Crackdown on Corporate Anti-Whistleblower PracticesLawmakers say overly restrictive nondisclosure agreements, for example, threaten the SEC's whistleblower program.
October 27, 2014
Merrill to Pay FINRA $6 Million Over Reg SHO ViolationsFINRA said Monday that it had fined Merrill's clearing and BD arms for not ensuring that fail-to-deliver positions in short sales were properly closed out.
October 24, 2014
SEC Responds to Market Volatility by Ramping Up Bond-Fund ExamsSurging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
October 24, 2014
SEC Wants Exchange-Traded Funds to Be Easy to TradeAn efficient-markets-fundamentalism model of the SEC is actually pretty good for predicting what the SEC will do. Except about insider trading, I guess.
October 24, 2014
Treasury, IRS OK Deferred Income Annuities in 401(k)sTarget date funds that invest in deferred annuities can be used as default investments in 401(k) plans, Treasury and the IRS said Friday.
October 23, 2014
4 holes in PPACA exchange data security safeguardsPlenty of people leave their keys under the mat. What about your state's exchange?
October 23, 2014
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic SurgeryMeanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.