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 Choi, Aronow to Key Posts
By Melanie WaddellChoi 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 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.
August 12, 2013
FINRA finds violations in broker's YouTube videoFINRA suspended the registered representative in all capacities for 20 business days and fined him $10,000.
August 08, 2013
SEC Pressured by Pols in IRS-Like Controversy: WSJThe paper claims in an editorial that the agency under Mary Schapiro targeted firms for their political support.
August 08, 2013
SEC, FINRA Enforcement: Ex-Marine Charged With Bilking Fellow ServicemembersAmong other recent FINRA and SEC actions were a $1.4 million fine for Oppenheimer & Co. for penny-stock violations and insider trading charges against a former Green Mountain Coffee exec.