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.
Stop IRA Rollovers ‘Immediately,’ Expert Warns After Tax Ruling
By Melanie WaddellIRA expert Ed Slott urges advisors to warn their clients about the ruling, which says IRA holders are allowed only one rollover per year.
April 04, 2014
SEC Fines Traders $3M for ‘Spoofing,’ ‘Layering’Two firms and five individuals tricked investors into buying or selling stocks through orders that were later canceled, SEC says.
April 03, 2014
SEC Enforcement: Traders Used Wives’ Information to Make Insider TradesAlso in enforcement, Transamerica Financial Advisors was fined by the SEC for improperly calculating advisory fees and overcharging clients.
April 03, 2014
Fed Governor Stein Resigns to Return to Teaching at HarvardJeremy Stein is a known as a thought leader on the linkage between monetary policy and financial stability.
April 03, 2014
Mutual-fund oversight undermined by FSOCThe FSOC has cut commission members out of discussions over the risk posed by large asset management firms, SECs Luis A. Aguilar says.
April 03, 2014
Mutual-fund oversight undermined by FSOCThe FSOC has cut commission members out of discussions over the risk posed by large asset management firms, SECs Luis A. Aguilar says.
April 02, 2014
3 Tests for Whether an Advisor Compliance Issue Is Hot, or NotYou want to be compliant, but which SEC programs should you pay attention to? Heres some help in sorting out the regulatory noise.