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: Oil and Gas Private Securities Fraud on the Rise
By Melanie WaddellThe SEC is warning investors that working with an advisor doesnt guarantee they wont be scammed in private oil and gas offerings.
May 02, 2013
SEC, FINRA Enforcement Roundup: City in California Charged With FraudAmong recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.
May 02, 2013
SEC Exam Chief Di Florio Jumps to FINRA PostIn a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.
May 02, 2013
New York tobacco regulations light up public health debateCan New York laws possibly stop rebellious teens?
May 02, 2013
New York tobacco regulations light up public health debateCan New York laws possibly stop rebellious teens?
May 01, 2013
FDA: Plan B will be available over the counter for women 15 and overThe decision will only have an impact should the Department of Justice appeal an April 5 ruling.
May 01, 2013
IRS drafts large-group minimum value rulesLarge and self-funded groups would not have to provide all "essential health benefits."
May 01, 2013
IRS drafts large-group minimum value rulesLarge and self-funded groups would not have to provide all "essential health benefits."