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 OKs FINRA Rule to Limit Self-Trading
By Melanie WaddellSelf-trades by single or related algorithms or trading desks "raise heightened concerns," FINRA says.
May 02, 2014
SEC halts IRA scam that cost investors $22 millionA Utah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to invest on behalf of his customers.
May 01, 2014
FINRA, SEC Enforcement: 6 Charged With Insider Trading on eBay AcquisitionMeanwhile, FINRA fines Edward Jones for unsuitable ETF recommendations.
May 01, 2014
SEC Fines NYSE, 2 Affiliates $4.5 Million for Breaking Their Own RulesWe will hold exchanges accountable if they fail to have rules governing their operations or fail to follow them, said SEC's Andrew Ceresney.
May 01, 2014
Barbara Roper, Investor Watchdog: The 2014 IA 25 ProfileBusiness as usual on Wall Street is bad news for investors, according to the director of investor protection for the Consumer Federation of America.
May 01, 2014
Watchdog waiting for IRS PPACA fraud systemsAn inspector general does not know whether the agency can detect premium tax credit problems.
May 01, 2014
Watchdog waiting for IRS PPACA fraud systemsAn inspector general does not know whether the agency can detect premium tax credit problems.
April 30, 2014
Thomas Perez, DOL’s Cautious Fiduciary Advocate: The 2014 IA 25 ProfileLabor Secretary Thomas Perez is being credited with re-energizing the DOLs bid to amend the definition of fiduciary under ERISA. But he's proceeding carefully.