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.
Get Ready for an Aggressive SEC in the New Year
By Thomas D. GiachettiI have never been political in this column, but the time has arrived.
November 21, 2013
Get Ready for Your Annual ReviewAs the weather turns colder, turn up your focus on compliance requirements and your Form ADV.
November 21, 2013
SEC, FINRA Enforcement: Advisor to NFL, NBA Players Barred Amid Fraud CaseFINRA banned a former advisor to athletes, like Brandon Knight of the Detroit Pistons, after he skipped a hearing in an $18 million fraud case.
November 20, 2013
Insurance regulation: 5 things to watch in 2014Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
November 19, 2013
2013 federal regulation: A recapThe insurance industry enters 2014 with even less certainty than it did 2013. Here's why.
November 19, 2013
Lawsky: Regulation focused more on punishing past than protecting futureThe insurance industry can be used as a catalyst for positive change in society, New Yorks top regulator says.
November 18, 2013
2013 federal regulation: A recapThe insurance industry enters 2014 with even less certainty than it did 2013. Here's why.
November 18, 2013
SEC Investor Advisory Committee to Vote Friday on Fiduciary PlanSIFMA director Kevin Carroll says some of the recommendations of Barbara Roper's investor committee are "incongruous" with Dodd-Frank's intent.