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.
Lawmakers: SEC Failed to Analyze Volcker Rule, Broke Federal Law
By Melanie WaddellA congressional hearing on Wednesday focused on the unintended consequences of the Volcker Rule.
January 14, 2014
More Advisor Exams? Not Under This SEC Budget, Advocates SayCFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
January 13, 2014
IRS Scandals Fueled by Lack of Funds, Taxpayer Advocate SaysIn her annual report to Congress, Nina Olson calls for a taxpayer bill of rights that she says might have prevented the political targeting scandal.
January 13, 2014
SEC Issues Guide on Muni Advisor Registration, Extends Compliance DeadlineAmong other matters, the guidance clarifies that advisors using swaps or security-based swaps in municipal entity portfolios do not have to register as municipal advisors.
January 10, 2014
Never-examined advisors top SEC’s 2014 exam priorities listDually registered advisors and IRA rollovers will also get heightened scrutiny.
January 10, 2014
Never-examined advisors top SEC’s 2014 exam priorities listDually registered advisors and IRA rollovers will also get heightened scrutiny.
January 10, 2014
9 Nasty Enforcement Cases of 2013Nobody was safe from advisors gone bad: not widows, not NFL stars, not even Marines.
January 09, 2014
Never-Examined Advisors Top SEC’s 2014 Exam Priorities ListLike FINRA, SEC also plans to scrutinize IRA rollovers this year.