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 Cracking Down on Wrap Fees; Wins Court Case
By Melanie WaddellThe SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
August 07, 2014
SEC busts 2 for bilking terminally ill, blind seniorsThe SEC levied charges against a broker and an advisor for scams targeting older clients.
August 05, 2014
Watchdog: IRS PPACA exchange systems worked wellProblems with tracking people who had many name changes led to some errors.
August 05, 2014
Watchdog: IRS PPACA exchange systems worked wellProblems with tracking people who had many name changes led to some errors.
August 05, 2014
SEC Charges 4 for Manipulating Marijuana Company StocksThe SEC Tuesday charged four promoters for manipulating the securities of several microcap companies, including marijuana-related stocks.
August 05, 2014
Battered Morgan Stanley Breakaway Advisor Fights BackBreakaway advisor James Eastman tells ThinkAdvisor how Morgan Stanley read his email and painted his compliance record when he tried to leave.
August 04, 2014
Phoenix Companies settles with SEC on timetables filingsThe amended administrative order settles the SEC's administrative proceedings against Phoenix and and PHL Variable.
August 04, 2014
Phoenix Companies settles with SEC on timetables filingsThe amended administrative order settles the SEC's administrative proceedings against Phoenix and and PHL Variable.