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.
8 Critical Questions to Prepare for FINRA Suitability Exams
By Melanie WaddellIf you can't answer these questions, securities lawyer Josh Horn says, it's time to "revisit your policies and procedures before FINRA does it for you.
October 04, 2013
SEC Investor Committee Issues Fiduciary PlanThe Investor Advisory Committee hopes that "we can help to shape the form that commission rulemaking takes," says Barbara Roper.
October 04, 2013
SEC, FINRA Enforcement: Texas Couple Busted in Green Card Investment ScamAmong other actions, the SEC charged a woman in a bail-bond scheme and froze assets in a bill-collection scam to pay alimony and child support.
October 03, 2013
Number of RIAs Jumps Slightly Despite Registration SwitchIAA and NRS report finds that the total RIA count rose slightly from last July despite the switch to state registration.
October 02, 2013
Insurance regulation: A big ship now in motionWill other insurers join AIG and Prudential as SIFIs?
October 02, 2013
Insurance regulation: A big ship now in motionWill other insurers join AIG and Prudential as SIFIs?
October 01, 2013
SEC Awards $14 Million to WhistleblowerWe hope an award like this encourages more individuals with information to come forward, said SEC Chairwoman Mary Jo White.
September 30, 2013
SEC Issues Risk Alert and Reminder: Continuity Plans and Reg S-IDA good disaster recovery plan will not only protect your firm from unnecessary scrutiny, it may also help maintain your client relationships and your business.