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.
Former SEC Chief Walter Named FINRA Public Governor
By Melanie WaddellFINRA announced Thursday that former SEC Chairwoman Elisse Walter has been elected to FINRAs Board as public governor.
August 14, 2014
New Hire Roundup: Piccone to Lead SEC Exam Program in DenverIn other personnel moves, WBI promoted Matt Woehnker, and David Brierwood joins the Preqin board.
August 14, 2014
SEC Cracking Down on Wrap Fees; Wins Court CaseThe SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
August 08, 2014
SEC, FINRA Enforcement: Reps Sold ETFs They Didn’t UnderstandIn other enforcement news, the SEC charged an energy firm and a stock promoter with defrauding investors about its oil reserves.
August 07, 2014
Are You an ‘Internet Adviser?’ A 10-Year-Old SEC Rule Predated Robo-AdvisorsSEC Rule 203A-2(e) governs registration requirements for advisors delivering advice by the Internet. Heres how to stay compliant with this foresighted rule.
August 07, 2014
SEC busts 2 for bilking terminally ill, blind seniorsThe SEC levied charges against a broker and an advisor for scams targeting older clients.
August 05, 2014
Watchdog: IRS PPACA exchange systems worked wellProblems with tracking people who had many name changes led to some errors.
August 05, 2014
Watchdog: IRS PPACA exchange systems worked wellProblems with tracking people who had many name changes led to some errors.