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, FINRA Enforcement: Money Manager Fined for False Advertising
By Marlene Y. SatterAlso, 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
SEC issues risk alert on alternatives due diligenceSome advisors are performing more due diligence, but there are still areas for improvement.
January 29, 2014
3 Ways to Guard Against Tax FraudTax season starts Friday, and scammers are ready to take advantage of consumers with taxes on their minds.
January 29, 2014
SEC to Keep Close Eye on Advisors Who Are ‘Highly Successful’ at RolloversThe goal is to see whether there is an abuse of rollovers, says Kevin Goodman, national associate director of the SEC's BD exam program.
January 28, 2014
SEC Issues Risk Alert on Alternatives Due DiligenceThe SEC is warning advisors to be careful when recommending alternative investments like hedge funds, private equity funds or funds of private funds.
January 28, 2014
FINRA seeks to block deletion of investor complaints against brokersFINRA is working on a rule to bar the deletion of an investors complaint against a broker in the public records.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.
January 28, 2014
Regulators shine spotlight on IRA rollover suitabilityPerhaps no area has received greater scrutiny recently than the IRA rollover transaction.