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 OKs Broad Expansion of Broker Background Checks
By Melanie WaddellFINRA's board approved amendments to its supervision rule, which must be approved by the SEC.
April 23, 2014
Are banking industry regulators actually overpaid?The average federal financial regulator makes somewhat less than a third-year investment banking analyst.
April 23, 2014
Are banking industry regulators actually overpaid?The average federal financial regulator makes somewhat less than a third-year investment banking analyst.
April 23, 2014
The ‘chilling effect’ of FINRA’s broker bonus ruleFINRA's push to disclose signing bonuses and other compensation would hurt both advisors and investors, some argue.
April 23, 2014
The ‘chilling effect’ of FINRA’s broker bonus ruleFINRA's push to disclose signing bonuses and other compensation would hurt both advisors and investors, some argue.
April 22, 2014
SEC to consider more attention on brokers’ stock-routing roleThe proposal could give investors more insight into whether they are getting the best price when they buy and sell large numbers of shares.
April 21, 2014
SEC Weighs Requiring Brokers to Tell Where Trades Are SentThe proposal is intended to address complaints that trade routing decisions sometimes are not in clients best interests.
April 17, 2014
SEC Charges Ex-BP Crisis Manager With Insider Trades After Deepwater Horizon Oil SpillThe employee, a senior responder during the 2010 Deepwater Horizon oil spill, traded on confidential information about the magnitude of the disaster, the SEC said.