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.
Tourre ruling should guide SEC in fiduciary rulemaking, expert says
By Melanie WaddellFraud charges against former Goldman Sachs trader seen as critical victory for SEC.
August 02, 2013
House votes to curb IRS PPACA authoritySome Republicans have questioned whether federal exchange users can get the new tax credits.
August 02, 2013
Senate Confirms Stein, Piwowar as SEC CommissionersThe new SEC commissioners replace Elisse Walter and Troy Paredes.
August 01, 2013
Janet Tavakoli: SEC Needs to Wake Up, Make Bad Money Managers Pay UpWall Street scourge Janet Tavakoli usually reserves her fire for big cheating firms, but she turned her ire on the SEC regarding its criminal indictment of SAC Capital on insider trading charges.
August 01, 2013
SEC’s Deputy Director of Economic and Risk Analysis to DepartKathleen Weiss Hanley, who helped incorporate rigorous economic modeling into agency activities, to join University of Marylands Robert H. Smith School of Business.
August 01, 2013
SEC, DOL Enforcement: Indiana School District, Muni Bond Writer Face Investor Fraud ChargesRecent actions include FERC winning a $410 million settlement from JPMorgan, DOL stepped in against Kentucky-based plan fiduciaries, insider trading charges against former CEO in Spain.
July 30, 2013
SEC’s White pushing to finish fiduciary rulemaking ‘quickly’White says she has directed SEC staff to engage more with DOL regarding both agencies fiduciary rules.
July 30, 2013
BrightScope Defends a Business Model Modeled After MorningstarBrightScope's methods irritate some, but others see a chance to clean up some of the industry's problems.