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.
Are banking industry regulators actually overpaid?
By Matt LevineThe average federal financial regulator makes somewhat less than a third-year investment banking analyst.
April 22, 2014
SEC to consider more attention on brokers’ stock-routing roleThe proposal could give investors more insight into whether they are getting the best price when they buy and sell large numbers of shares.
April 21, 2014
SEC Weighs Requiring Brokers to Tell Where Trades Are SentThe proposal is intended to address complaints that trade routing decisions sometimes are not in clients best interests.
April 17, 2014
SEC Charges Ex-BP Crisis Manager With Insider Trades After Deepwater Horizon Oil SpillThe employee, a senior responder during the 2010 Deepwater Horizon oil spill, traded on confidential information about the magnitude of the disaster, the SEC said.
April 17, 2014
Preventing and Fixing Broken 401(k) Plans: 12 Common Compliance ErrorsThis excerpt from The Advisors Guide to 401(k) Plans serves up expert advice for plan sponsors and administrators.
April 17, 2014
SEC Launches Cybersecurity Exams of BDs, AdvisorsThe SEC says it has launched cybersecurity-related exams of more than 50 registered broker-dealers and RIAs.
April 17, 2014
FINRA to mull beefing up broker background checksThe FINRA board will consider an amendment to its supervision rule on April 24.
April 17, 2014
FINRA to mull beefing up broker background checksThe FINRA board will consider an amendment to its supervision rule on April 24.