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.
GAO urges stricter regulation of managed accounts
By Nick ThorntonImprovements can be made to better protect participants in managed accounts, the GAO says.
July 28, 2014
Dodd-Frank: Four Years LaterAs the fourth anniversary of the Dodd-Frank Act's passage into law hit in late July, regulators and lawmakers aired their opinions about how the financial reform law is workingor not.
July 28, 2014
Harbinger Capital COO to Pay SEC Fine Over Falcone SchemePeter Jenson admits wrongdoing in scheme to misappropriate millions from a hedge fund they managed to pay Falcones personal taxes.
July 25, 2014
IRS ties up PPACA loose endsNew guidance and regulations could affect abused spouses, broke bosses and the uninsured.
July 24, 2014
SEC, FINRA Enforcement: More Charged in Football-Related Boiler Room SchemeIn other actions, the SEC charged the CEO of penny stock company CytoGenix, and his so-called business partner, with defrauding investors via false press releases.
July 24, 2014
SEC OKs FINRA Rule on Expungement of Broker Black MarksThe rule helps to reduce FINRAs lack of transparency about a brokers complaint history, said investor lawyer Jason Doss.
July 23, 2014
How employers will react to the split PPACA subsidy rulingsThe conflicting opinions set up a classic situation where the Supreme Court will likely be called on to resolve the difference in the circuits.
July 23, 2014
MetLife SIFI designation imminentIn designating MetLife at this time, the FSOC would be ignoring the House Financial Services Committee.