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.
Spectrem Millionaire Corner Launches Advisor Ratings
By Michael S. FischerWant to know how your clients would rate you? Spectrem Millionaire Corner will now survey them for you.
April 25, 2014
FINRA approves changes to broker background checksFirms would have to adopt written procedures that include searching public records.
April 25, 2014
RIAs: When and Why to Make Form ADV UpdatesThe triggers for other-than-annual amendments to your Form ADVs are many and varied. Best to follow Confucius' advice on the subject.
April 24, 2014
Top 3 Challenges Posed by EU Banking UnionAfter much public bickering, the European Parliament has voted to approve rules to govern the move to a banking union. But challenges remain.
April 24, 2014
FINRA OKs Broad Expansion of Broker Background ChecksFINRA's board approved amendments to its supervision rule, which must be approved by the SEC.
April 24, 2014
FINRA Reverses Schwab Class Action Waiver DecisionSchwab violated FINRA rules by including class action waivers in customer account agreements, FINRA said.
April 24, 2014
SEC Enforcement: Fake Notre Dame Grad Charged With FraudIn other enforcement actions, a biopharm exec, doctor and patient settled insider trading charges.
April 23, 2014
Are banking industry regulators actually overpaid?The average federal financial regulator makes somewhat less than a third-year investment banking analyst.