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.
Giachetti to Junxure Users: Show, Don’t Tell, SEC Examiners You’re Compliant
By James J. GreenThe SEC is asking smart questions in exams, the securities lawyer warns, with major changes even since 2011. His advice on how to stay compliant.
September 17, 2013
FINRA Warns Investors About ‘Risky’ Private PlacementsThe alert comes two months after the SEC lifted a ban on advertising such investments, as required under the JOBS Act.
September 13, 2013
Scammers Salivate Over Americans’ Investing IgnoranceMany Americans lack an understanding of reasonable investment returns, leaving them vulnerable to fraudulent sales pitches, according to the FINRA Foundation.
September 12, 2013
65-Year-Old SEC Ruling Shines Clear Light on Fiduciary StandardIn the case of the dually registered Arlene Hughes in 1948, the SEC stated clearly what it means to be a fiduciary.
September 12, 2013
SEC Enforcement: Ham Scam Gets Bangkok Trader Slapped With $5.2M FineAlso, a former First Solar VP is charged with unfair disclosure, and an alleged prime-bank hustle bilked investors of $3.5 million.
September 11, 2013
FINRA Revives Broker Bonus Disclosure PlanA revised plan to require that brokers recruitment compensation be disclosed when they switch firms will be considered at FINRA's Sept. 19 board meeting.
September 10, 2013
DOL fiduciary plan hits delayAt the FSI Advisor Summit, Borzi confirmed the revamped proposal will include IRAs.
September 10, 2013
DOL fiduciary plan hits delayAt the FSI Advisor Summit, Borzi confirmed the revamped proposal will include IRAs.