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.
FBI Sting Busts Group of 5 for Microcap Fraud
By Melanie WaddellThe SEC and FBI warn that more undercover operations aimed at market manipulation and insider trading could be underway.
July 10, 2014
SEC Investor Advisory Committee Mulls ‘Accredited Investor’ CriteriaSEC Chairwoman White also gave an update on the uniform fiduciary standard, target date fund rules and other issues the committee has weighed in on.
July 09, 2014
SEC delays annuity summary planSEC issues mutual fund summary prospectus that should be three to four pages in length.
July 09, 2014
SEC delays annuity summary planSEC issues mutual fund summary prospectus that should be three to four pages in length.
July 09, 2014
FSI poll: 90% of advisors oppose DOL fiduciary redraftNinety-one percent of advisors said they opposed the DOL redraft in FSIs 2013 poll.
July 09, 2014
FSI poll: 90% of advisors oppose DOL fiduciary redraftNinety-one percent of advisors said they opposed the DOL redraft in FSIs 2013 poll.
July 09, 2014
DOL Fiduciary Redraft Opposed by 90% of FSI Advisors: FSI PollAdvisors say the DOL should not redefine fiduciary under ERISA, according to an FSI poll. Most advisors also think the GOP will win the Senate.
July 08, 2014
Rengan Rajaratnam Cleared of Insider-Trading ConspiracyRengan Rajaratnam, the brother of Galleon Group co-founder Raj Rajaratnam, has been found not guilty.