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.
SEC Enforcement: Advisor Barred for Hiding Astrology-Based Investment Strategy
By Marlene Y. SatterMeanwhile, the SEC charged a California-based securities salesman for selling millions of dollars in oil-and-gas investments without being registered.
May 08, 2014
Dale Brown, FSI’s Wrangler in Chief: The 2014 IA 25 ProfileThis is the eighth year that Dale Brown has been on the IA 25 list.
May 07, 2014
AALU speakers probe court, IRS rulings buffeting the industryProducers must stay in touch with divorce attorneys and clients to ensure that beneficiary designations are up-to-date.
May 07, 2014
Private Fund Advisors Often Cited for Violations Over Fees, Expenses: SECPrivate equity firms are cited for deficiencies involving fees and expenses more than half the time the SEC looks at that area, OCIEs Bowden says.
May 06, 2014
Lawmakers’ Prodding of SEC, DOL Fiduciary Collaboration a ‘Tactic,’ Consumer Groups SayLawmakers want SEC to go first on fiduciary because BDs and insurers expect to find the commission's rule more favorable, suggests CFA's Barbara Roper.
May 06, 2014
AIG preparing for federal regulationAIG is making moves as a SIFI to bulk up its capital.
May 06, 2014
AIG preparing for federal regulationAIG is making moves as a SIFI to bulk up its capital.
May 06, 2014
FINRA Fines Morgan Stanley $5M Over IPO Share SalesFINRA said Morgan Stanley had supervisory failures in initial public offerings for Facebook, Yelp and 81 others.