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 to examine investment advisors
By Carla MainExaminations will concentrate on advisors compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.
February 24, 2014
Regulation Tops Institutional PE Investors’ Worry ListRegulation is still the top challenge of institutional investors trying to operate an effective private equity program, according to Preqin.
February 24, 2014
IRS issues rollover guidanceEmployers whose 401(k) plans offer Roth accounts have a guide for the rules governing rollovers by participants younger than retirement age.
February 24, 2014
Credit Suisse to Pay $196 Million to SEC Over Cross-Border InfractionsCredit Suisse relationship managers traveled to the U.S. to advise and solicit clients, collecting $82 million in fees, without registering with SEC.
February 21, 2014
IRS Issues Rollover GuidanceThe IRS has issued guidance for employers whose 401(k) plans offer Roth IRA accounts.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.
February 21, 2014
FINRA wants to get too invasive for some membersMembers liken FINRA data-gathering efforts on advisors to NSA.
February 21, 2014
SEC’s White: Fiduciary Rule’s Fate to Be Decided This YearThe agency this year will make a threshold decision on whether to proceed with a uniform fiduciary standard, SEC Chairwoman Mary Jo White said.