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.
8 critical questions to prepare for FINRA suitability exams
By Melanie WaddellIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 Critical Questions to Prepare for FINRA Suitability ExamsIf you can't answer these questions, securities lawyer Josh Horn says, it's time to "revisit your policies and procedures before FINRA does it for you.
October 10, 2013
SEC, FINRA Enforcement: Firm Owner Loots Scholarship Funds, Widow’s AccountFINRA expels firm and its owner for misusing a widow's money and a scholarship fund; SEC charges more inside traders in Heinz case.
October 09, 2013
SEC Puts Fund Directors in SpotlightThe SEC enforcement division will put a heightened focus on fund boards approval of advisor fees, the co-director of the division said Wednesday.
October 04, 2013
SEC Investor Committee Issues Fiduciary PlanThe Investor Advisory Committee hopes that "we can help to shape the form that commission rulemaking takes," says Barbara Roper.
October 04, 2013
SEC, FINRA Enforcement: Texas Couple Busted in Green Card Investment ScamAmong other actions, the SEC charged a woman in a bail-bond scheme and froze assets in a bill-collection scam to pay alimony and child support.
October 03, 2013
Number of RIAs Jumps Slightly Despite Registration SwitchIAA and NRS report finds that the total RIA count rose slightly from last July despite the switch to state registration.
October 02, 2013
Insurance regulation: A big ship now in motionWill other insurers join AIG and Prudential as SIFIs?