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 Plan Seeks ‘Clearer Picture’ of Nonlisted REITs
By Melanie WaddellThe plan would require BDs to factor in fees and commissions when determining the share price.
February 03, 2014
Will SEC Spend 5 More Years Mulling Fiduciary Rule?The SEC said Monday that it would continue to analyze over the next five years whether to write a fiduciary rule for brokers.
January 31, 2014
SEC to keep eye on advisors ‘highly successful’ at rolloversSEC and FINRA give their reasons why rollovers and sales to seniors need heightened scrutiny.
January 31, 2014
SEC to keep eye on advisors ‘highly successful’ at rolloversSEC and FINRA give their reasons why rollovers and sales to seniors need heightened scrutiny.
January 30, 2014
SEC, FINRA Enforcement: Money Manager Fined for False AdvertisingAlso, FINRA hit Banorte-Ixe Securities for failure to act when a client with reported drug cartel ties made $28 million in transfers.
January 30, 2014
Wall Street pitches fit after Fed's tapering announcementThe Federal Reserve announced Wednesday afternoon that it would reduce its bond-buying by another $10 billion in February.
January 30, 2014
SEC issues risk alert on alternatives due diligenceSome advisors are performing more due diligence, but there are still areas for improvement.
January 30, 2014
SEC issues risk alert on alternatives due diligenceSome advisors are performing more due diligence, but there are still areas for improvement.