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.
FINRA Provides Free ‘Dark Pool’ Data to Investors
By Melanie WaddellThe public will now be able to see the total shares traded each week by security in each dark pool outside traditional exchanges, FINRA says.
May 29, 2014
FINRA Warns on Fake High-Interest CDsFINRA investor alert provides list of red flags that indicate a fraudulent CD offer.
May 28, 2014
DOL to delay fiduciary redraft release until JanuaryThe originally planned August release date is delayed.
May 27, 2014
Cybersecurity Crackdown: Where SEC, FINRA Will StrikeNo matter the size of your firm, if your client data isnt safe, youre not safe from the SEC and FINRA.
May 27, 2014
Time to Rein In Rollovers?If youve been paying attention over the past year, youve noticed that regulators and those in Washington are placing increased scrutiny on IRA rollovers.
May 27, 2014
DOL to Delay Fiduciary Redraft Release Until JanuaryLabor Secretary Perez told a Senate Appropriations subcommittee that the redrafting of the fiduciary proposal has been slowed down at my direction significantly.
May 23, 2014
SEC's White backs opposition to systematic risk labelWhite argues that, unlike banks, money managers dont accumulate large risky positions on their own balance sheets.
May 23, 2014
SEC: Accountant Bet Client’s Money at Client’s CasinoThe SEC found that Deloitte LLP's chief risk officer accepted tens of thousands of dollars in casino markers while advising the casino's audit.