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 of Stock Scams Tied to Ebola, Other Viral Diseases
By Melanie WaddellNews coverage of viral outbreaks, including Ebola and MERS, will likely catch the interest of stock scammers looking to capitalize on fears, FINRA says.
September 03, 2014
SEC User Fees Would Have Little Impact on Most Firms: StudyVanguard, on the other hand, may have reason to call its lobbyists soon, according to an analysis by the compliance firm RIA in a Box.
September 03, 2014
Has the CFP Board Overplayed Its Hand With the Camardas?Even if the Board wins its suit, what will be the long-term cost in the hearts and minds of other CFPs?
September 02, 2014
SEC Too Lax on Accountants, Commissioner SaysThe growing SEC practice of settling financial reporting cases without fraud charges or suspensions is a "troubling trend," Commissioner Luis Aguilar says.
September 02, 2014
CFP Board Request for Camardas' Client List Raises EyebrowsThe latest filing in the CFP Board/Camarda legal tussle is raising some questions about privacy rules, Brian Hamburger of MarketCounsel says.
August 29, 2014
Ex-LPL Broker to Pay $1.9M in Fraud CaseAt least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.
August 29, 2014
SEC Gives First Compliance Employee a Whistleblower AwardAgency awards more than $300,000 to an employee who performed audit and compliance functions.
August 29, 2014
Credit rater profits spared in SEC rules that police conflictsThe SEC's 3-2 vote came four years after Congress directed the agency to find ways to root out conflicts.