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.
DOL Seeks Feedback on Brokerage Windows in 401(k)s
By Melanie WaddellThe range of investments available in the "window" and how much disclosure workers get about them are some of the questions DOL wants answered.
August 19, 2014
SEC Begins Exams of Municipal Advisors; Focus on "Identified Risks"Over the next two years, OCIE plans to examine a significant percentage" of muni advisors, "establishing a presence" and focusing on risk.
August 18, 2014
Compliance at Financial Services Firms Falls ShortCompliance firm Cipperman finds that firms, especially in the alternatives space, tend not to invest enough in staying compliant.
August 18, 2014
FINRA Charges Wedbush With Market Access ViolationsWedbush's lax supervision enabled customers to flood U.S. exchanges with thousands of potentially manipulative wash trades, FINRA says.
August 18, 2014
SEC Using Hedge Fund Data on $8 Trillion in Assets in Exams, EnforcementSEC tells Congress it is using compiled data from Form PF, now required of private fund advisors, to support its own regulatory programs.
August 18, 2014
One Golf Course That's Great for Stock TipsThe Oakley Country Club in Watertown, Massachusetts, would seem to be the biggest hotbed of alleged insider trading since SAC Capital.
August 15, 2014
IRS Warns on Phone Scams as Its Contractors Put Taypayer Info at RiskAgency warns of the biggest phone scam it has ever seen; meanwhile, a report finds IRS gave contractors taxpayer data without mandatory background checks.
August 15, 2014
SEC Charges Energy Firm Whose Fracking Replacement Was Just a ChimeraChimera Energy built a pump-and-dump scheme on the premise that it was developing cleaner oil-and-gas technology, the SEC said.