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.
F-Squared Investments Says Regulators Consider Civil Action
By Christopher Condon, Bloomberg, Sabrina WillmerF-Squared Investments, one of the largest managers of ETF investment products, said U.S. regulators were considering a civil action over performance claims.
September 04, 2014
MetLife joins the SIFI listMetLife was designated a systemically important financial institution (SIFI) by the Financial Stability Oversight Council today.
September 04, 2014
FINRA Warns of Stock Scams Tied to Ebola, Other Viral DiseasesNews coverage of viral outbreaks, including Ebola and MERS, will likely catch the interest of stock scammers looking to capitalize on fears, FINRA says.
September 04, 2014
SEC Charges Immigration Attorneys With Bilking Foreign Investors Seeking U.S. ResidencyThe lawyers sold investments in a fake ethanol plant, the SEC said.
September 03, 2014
FINRA Arbitration Head Fienberg to Step DownLinda Fienberg, an 18-year FINRA veteran, will leave at the end of November.
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.