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, FINRA, DOL Enforcement: Iowa Advisor to Repay 68 Pension Plans
By Marlene Y. SatterIn other actions, FINRA censures and fines New York-based Banesto Securities Inc., now known as Santander International Securities Inc., $650,000 for custody failures.
April 15, 2014
American Volunteerism Hit Bottom in 2013The number of Americans volunteering for nonprofits hit a new low in 2013, according to an analysis of federal statistics by The Chronicle of Philanthropy.
April 15, 2014
SEC’s new investor advocate says he has broad authorityThe Investor Advisory Committee appointed a new chair and Dodd-Frank has his back.
April 15, 2014
SEC’s new investor advocate says he has broad authorityThe Investor Advisory Committee appointed a new chair and Dodd-Frank has his back.
April 14, 2014
Did March mark a tipping point in fiduciary rulemaking?The DOL displayed renewed energy on its fiduciary rulemaking, while the SEC signaled caution on its fiduciary standard, which may well be a good thing.
April 11, 2014
PPACA glitch relief not necessarily legalBut Congressional Research Service staffers say it's unclear how a court would handle a challenge.
April 11, 2014
The best SEC speech everAn SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
April 11, 2014
SEC, FINRA, CFPB Enforcement: BofA Busted for Illegal Credit Card PracticesIn other actions, Hewlett-Packard will have to pay $108 million to settle SEC and DOJ charges of FCPA violations.