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.
FINRA Warns About Investing in Nigeria, Lebanon, Other Frontier Markets
By Janet LevauxFINRA issued an investor alert, saying these markets have heightened risks.
September 10, 2014
Manufacturers to IRS: Interpret the PPACA Cadillac plan taxThe provision is set to take effect in 2018.
September 09, 2014
SEC Busts Hedge Fund’s Fake Research, Soft Dollar ScamThe SEC charged a Minneapolis-based firm with bilking investors out of more than $1 million using fake research expenses and fees.
September 09, 2014
SEC’s White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come FirstChairwoman Mary Jo White told senators Tuesday that a fiduciary options list is a "high priority," but legally mandated rulemakings must take precedence.
September 05, 2014
F-Squared Investments Says Regulators Consider Civil ActionF-Squared Investments, one of the largest managers of ETF investment products, said U.S. regulators were considering a civil action over performance claims.
September 05, 2014
Roper Urges SEC Chief to Move on Fiduciary With Split VoteChairwoman Mary Jo White gives every impression that a uniform fiduciary rulemaking is a personal priority for her, says consumer advocate Barbara Roper.
September 05, 2014
FINRA Enforcement: HFP Capital Markets Expelled From FINRA for Note FraudFINRA also censured Saddle River, New Jersey-based Felix Investments.
September 04, 2014
MetLife joins the SIFI listMetLife was designated a systemically important financial institution (SIFI) by the Financial Stability Oversight Council today.