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.
The Women Leading the Fiduciary Charge
By Melanie WaddellPhyllis Borzi and Mary Jo White are two tough ladies with two tough jobs.
September 27, 2013
Rep Wins $4M From Wedbush in FINRA ArbMichael Farah, now an RIA, first brought the case against Wedbush in 2005, saying it had made misrepresentations on CMOs he'd sold.
September 26, 2013
SEC Enforcement: Advisor Should’ve Just Said No; Filmmaker’s Funding Efforts FlopAn end-times video game company and former Qualcomm executive are among others in the SEC's sights this week.
September 26, 2013
Return-to-work programs to save billions [infographic]According to Charles River Associates, these programs will save the government $25 billion over the next decade.
September 24, 2013
Federal Agencies, Servicemembers Brace for Possible ShutdownA First Command poll finds a majority of military members, who could face late paychecks, doubt lawmakers can avert a government shutdown.
September 24, 2013
5 Years On, Americans See Wall St. as ‘Foreign ... a Culture Apart’A new study offers a complex picture of public opinion on the industry that neither fits conventional wisdom nor can fit on a bumper sticker.
September 23, 2013
SEC Charges 10 Brokers in $125M ScamRegulators say the scheme affected some 750 investors who lost $80 million; two individuals involved have received jail sentences.
September 23, 2013
Federal Reserve considers explicit pledge: Low rates if inflation stays downCould Bernankes last act be a pledge?