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, DOL Enforcement: Diebold, Stryker Busted for Bribing Foreign Officials
By Marlene Y. SatterDiebold, manufacturer of voting machines and ATMs, to pay $48 million penalty; DOL recovers more than $4 million over ESOP scam.
October 23, 2013
Crowdfunding Rules Proposed by SECThe SEC voted unanimously Wednesday to publish its crowdfunding rules for a 90-day comment period.
October 22, 2013
SEC’s White: Compliance Pros Acting Lawfully Should Not Fear EnforcementSEC Chairwoman Mary Jo White aims to reassure CCOs, but an ex-exam chief says "the proof is going to be in the cases they bring."
October 22, 2013
Ohio panel gives final approval for Medicaid expansionThe seven-member "Controlling Board" can make spending authority adjustments.
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 19, 2013
Branham, Schadle (and Brand) Assess Strides Made, Future Goals of FPAAt annual conference, a look at the 'business discipline' that's now in FPA's genetic makeup, along with an update on the group's advocacy efforts.
October 18, 2013
SEC Audits: 6 Items You’d Better Find, FastCRMs provide a "rock-solid" corporate memory against examinations and lawsuits, Junxure CEO Greg Friedman says.