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.
5 Years On, Americans See Wall St. as ‘Foreign ... a Culture Apart’
By Knut A. RostadA new study offers a complex picture of public opinion on the industry that neither fits conventional wisdom nor can fit on a bumper sticker.
September 23, 2013
TD Bank to Pay SEC $15M for Aiding Ponzi SchemerThe SEC on Monday charged TD Bank and a former executive in connection with a massive scheme by Scott Rothstein, who is in prison.
September 23, 2013
SEC Slams Father, Son for Bilking Terminally Ill ClientsSEC charged a father and son in Lexington, S.C., with running a fraud designed to illegally profit from the deaths of terminally ill individuals.
September 20, 2013
CCOs Under Fire: When Enforcers Get Burned by RegulatorsWhile chief compliance officers are on the frontlines of catching wrongdoing, they can also become targets of regulators for their own misdeeds.
September 19, 2013
FINRA Broker Bonus Plan Would Be ‘Nonevent’ for Many Reps: HenschenThe regulator raised the threshold for the disclosure requirement, which BD recruiter Jon Henschen called a "positive" move.
September 19, 2013
SEC Enforcement: 23 Firms Nailed in Short Selling CrackdownThe SEC brought charges against 23 firms for short selling prior to stock offerings and against a fake advisor for bilking clients.
September 19, 2013
JPMorgan to Pay $920 Million Penalty for London Whale LossesJPMorgan Chase has agreed to pay $920 million to settle charges brought in a coordinated global settlement.
September 18, 2013
US Federal Reserve decides not to taper stimulusThe economy just is not where it needs to be for the Fed to stop buying bonds.