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.
LTCI Watch: Macro risks
By Allison BellMaybe that's the time bomb hiding in plain sight in a Goldman Sachs Asset Management report.
June 06, 2014
High-Speed Trading Rules Coming From SEC, White SaysThe SEC chief unveiled the regulators most sweeping plan yet for reining in high-frequency trading and monitoring secretive trading practices.
June 06, 2014
SEC Charges Wedbush Securities With Violating Market Access RuleWedbush provided market access to overseas traders without preapproval and without ensuring that they complied with U.S. law," says SECs Ceresney.
June 05, 2014
SEC, DOL Enforcement: Appeals Court Backs SEC in Citigroup CaseThe SEC may seek settlements without being obligated to require admissions of wrongdoing, the court found. Meanwhile, DOL fined GreatBanc Trust.
June 05, 2014
SEC Awards $875,000 to WhistleblowersThe SEC Tuesday announced a whistleblower award of more than $875,000 to be split evenly between two individuals.
June 04, 2014
FINRA Fines Barclays, Merrill, Goldman Over Inaccurate ‘Blue Sheet’ DataFINRA fined the banks $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers.
June 03, 2014
SEC Fines Bitcoin Entrepreneur for Selling Unregistered SharesThe SEC fined the co-owner of two bitcoin-related websites for publicly offering shares in the two ventures without registering them.
June 02, 2014
FINRA makes dark pool data public to help boost transparencyFINRAs commitment to transparency is bringing light to what was previously a dark area of the equity markets.