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, DOL, FINRA Enforcement: SAC Capital Could Plead Guilty
By Marlene Y. SatterAmong other recent enforcement actions, DOL retrieved $1.6 million for Sunkist employees and FINRA fined and censured Scottrade.
October 31, 2013
Sixth SEC Whistleblower Award Tops $150,000This is continued momentum and success for the SECs whistleblower program," said SEC's McKessy.
October 30, 2013
The Latest, Most Outrageous Attempt to Neuter Dodd-FrankWhen you look at its provisions and assumptions, you've got to wonder how SIFMA got Rep. Wagner to get HR 2374 passed by the House.
October 29, 2013
Senate Banking Aide: Committee Has ‘No Interest’ in Bill to Block Fiduciary RulesWagner bill passes House, but Senate Banking's Johnson says he won't focus on any bill "the president clearly has no interest in signing."
October 29, 2013
DOL’s Borzi: Fiduciary redraft could advance by year endDespite the likely House passage of the Wagner bill, Obama threatens to veto it. Were a long way from having a law, says Borzi.
October 29, 2013
DOL’s Borzi: Fiduciary redraft could advance by year endDespite the likely House passage of the Wagner bill, Obama threatens to veto it. Were a long way from having a law, says Borzi.
October 29, 2013
DOL’s Borzi: Fiduciary Redraft Could Advance by Year EndWe are coming very close to finishing our work on the reproposed rule, said DOL's Borzi.
October 28, 2013
SEC Fiduciary Rule ‘Major Focus’Securities and Exchange Commission Chairwoman Mary Jo White said in early October that developing a fiduciary duty rule for brokers remains a major focus of our efforts.