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.
Insurance regulation headed for a ‘hybrid model’?
By Arthur D. PostalRep. Ed Royce, R-Calif., said he envisions a hybrid model with layered regulation by states and the federal government.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.
May 19, 2014
FINRA trade-surveillance system will be curbedFINRA, Wall Streets self-regulator, is changing the design of a trading-surveillance system that has drawn opposition from brokers.
May 19, 2014
Advisor barred for hiding astrology-based investment strategyAmong recent enforcement actions, the SEC barred an investment advisor who failed to tell his clients that he used astrology to determine his investment strategy.
May 19, 2014
Advisor barred for hiding astrology-based investment strategyAmong recent enforcement actions, the SEC barred an investment advisor who failed to tell his clients that he used astrology to determine his investment strategy.
May 19, 2014
Fiduciary Will Stay on SEC Agenda ‘Until It’s Solved’But being on the agenda and getting it done are two different things, says SECs trading and markets director, Steve Luparello.
May 19, 2014
SBMs flag regulation as obstacle to growthThe study shows 93 percent of small business owners consider confidence to be a key component of success.
May 19, 2014
SBMs flag regulation as obstacle to growthThe study shows 93 percent of small business owners consider confidence to be a key component of success.