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, FINRA Enforcement: SEC Freezes Assets of Fugitive Investor in Fake Gold Bid
By Marlene Y. SatterIn other actions, a judge denied Houston hedge fund manager George Jarkesy Jr.'s plea to dismiss the SEC's fraud case against him.
June 09, 2014
Rep. McHenry Hopes to Restart Crowdfunding With New BillProposed legislation is designed to increase amounts to be raised by crowdfunding and cut red tape while retaining investor protections.
June 06, 2014
SEC Fines Dark Pool Operator Liquidnet for Misusing Customer InfoSEC says New York-based brokerage firm Liquidnet Inc. improperly used subscribers confidential trading information in marketing its services.
June 06, 2014
LTCI Watch: Macro risksMaybe that's the time bomb hiding in plain sight in a Goldman Sachs Asset Management report.
June 06, 2014
LTCI Watch: Macro risksMaybe that's the time bomb hiding in plain sight in a Goldman Sachs Asset Management report.
June 06, 2014
Time to rein in rollovers?Ed Slott says lack of knowledge on the options available for 401(k) holders hurts participants and advisors.
June 06, 2014
Time to rein in rollovers?Ed Slott says lack of knowledge on the options available for 401(k) holders hurts participants and advisors.
June 06, 2014
High-Speed Trading Rules Coming From SEC, White SaysThe SEC chief unveiled the regulators most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.