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 Names Jarcho Associate Exam Director for Advisors
By Melanie WaddellShe will oversee a staff of 450 lawyers, accountants and examiners responsible for inspections of U.S.-registered advisors
August 19, 2013
SEC Names Choi, Aronow to Key PostsChoi will be "a vital asset" in the IM Moving Ahead improvement project, while Aronow fills a key spot as "international regulatory arena continues to grow," says SEC Chairwoman Mary Jo White.
August 16, 2013
SEC Swears In 2 Commissioners; FINRA Names New GovernorsKara Stein and Michael Piwowar, both former congressional staffers, are new SEC commissioners, replacing Elisse Walter and Troy Paredes.
August 15, 2013
SEC, FINRA Enforcement: 2 JPMorgan Traders Charged With Fraud Over London Whale LossesThe SEC charged the traders for lying about massive derivatives losses and also charged several microcap companies and stock promoters in penny-stock schemes.
August 15, 2013
Navigator grant money comes with regulationsTwo laws recently introduced are consistent with actions in 34 states aimed at protecting licensed agents by requiring navigators follow stringent rules.
August 15, 2013
SEC approves more BrokerCheck transparencyThe public will get even more access to broker disciplinary information now that the SEC has approved amendments to FINRAs Rule 8312.
August 14, 2013
Labor may soon act on disability hiring regsThe Thomas Perez confirmation could also lead to action on home health care workers.
August 13, 2013
IRS completes exchange disclosure regsThe agency says data privacy safeguards in place now are tough enough.