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 Reveals Its 2014 Exam and Enforcement Priorities
By Melanie WaddellOfficials at the Securities and Exchange Commission have ushered in an era of more transparency, parting the curtain for advisory firms on what theyll be scrutinizing as well as which rulemakings are priorities this year.
February 24, 2014
FINRA Fines Berthel Fisher $775,000 Over Sales of AlternativesThe IBD must hire a consultant to shape up its supervision of nontraded REITs and leveraged/inverse ETFs, the regulatory group says.
February 24, 2014
SEC to examine investment advisorsExaminations will concentrate on advisors compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.
February 24, 2014
SEC to examine investment advisorsExaminations will concentrate on advisors compliance programs, filings and disclosure, marketing, portfolio management, and safekeeping of client assets.
February 24, 2014
FINRA’s 5 Biggest Fine Categories in 2013Fines from one category of offenses shot up a whopping 132%, according to the law firm Sutherland Asbill & Brennan.
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.