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.
‘Timing Discrepancy’ Gives SEC Filing Subscribers Unfair Advantage: Senators
By Melanie WaddellTwo senators called on the SEC to act after a study found paying subscribers can get corporate filings about 40 seconds before the public.
October 31, 2014
Dodd-Frank Rulemaking Like ‘Shoveling Manure’: SEC’s GallagherThe SEC won the Dodd-Frank booby prize, and we are still paying the price over four years later, said SEC Commissioner Daniel Gallagher.
October 30, 2014
FINRA Names Berry Head of ArbitrationFINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulators dispute resolution.
October 30, 2014
SEC Enforcement: Layne Christensen Fined $5M on Bribery ChargeMeanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
October 29, 2014
Coaches Corner: 5 Steps to Creating Systems for Your PracticeWant to build a more effective team and a more scalable business? Follow these steps in creating a system.
October 29, 2014
SEC Charges Sands Brothers With Custody Rule ViolationsSEC charged Sands Brothers and three of its top officials, including its CCO, with failing to provide timely statements on the firms private funds.
October 29, 2014
House Dems call for SEC crackdown on corporate anti-whistleblower practicesHouse Democrats say overly restrictive nondisclosure agreements, for example, threaten agencys whistleblower program.
October 28, 2014
Wyly widow says she was insolvent after billionaire’s deathTexas businessman Charles Wyly had no significant life insurance when he died in a 2011 car crash.