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.
Advisor barred for hiding astrology-based investment strategy
By Marlene Y. SatterAmong recent enforcement actions, the SEC barred an investment advisor who failed to tell his clients that he used astrology to determine his investment strategy.
May 19, 2014
SBMs flag regulation as obstacle to growthThe study shows 93 percent of small business owners consider confidence to be a key component of success.
May 19, 2014
FINRA ‘Aggressively’ Seeking BD Feedback on CARDS: KetchumCEO Richard Ketchum defended the controversial automated data-collection system as an important investor protection tool but stressed that FINRA wanted to get it right.
May 16, 2014
It pays to fight back against SEC, FINRANearly half of advisors, BDs and their reps that chose to litigate got off lighter than if they had settled, according to a Sutherland survey.
May 16, 2014
It pays to fight back against SEC, FINRANearly half of advisors, BDs and their reps that chose to litigate got off lighter than if they had settled, according to a Sutherland survey.
May 16, 2014
Don’t Get Smoked by Marijuana-Related Investments, SEC WarnsThe SEC halts trading of yet another purported pot-related firm and warns investors that newly liberalized marijuana laws beckon fraudsters.
May 16, 2014
Selling Stock Without a LicenseAn SEC settlement shows that a lot of people selling securities without a license are probably better at it than the licensed broker-dealers.
May 16, 2014
It Pays to Fight Back Against SEC, FINRA: SurveyNearly half of advisors, BDs and their reps that litigated got off lighter than they would have if they had settled, a Sutherland study found.