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 fiduciary questionnaire is fatally flawed
By Chris CarosaIf industry lobbyists fighting the fiduciary standard had written this SEC release, it wouldnt have looked much different.
April 25, 2013
Overseas Tax Havens Under the Microscope as Governments Call for Tighter RegulationsDemands for tighter regulations and more transparency could change the way countriesand companiesdo business.
April 25, 2013
SEC Acts to Halt JOBS Act ScamThe SEC on Thursday announced fraud charges against a Spokane Valley, Wash., company and its owner for misleading investors with claims it was raising billions in investment capital under the JOBS Actbefore the law's rules are even finished.
April 25, 2013
Lawmakers, aides may get Obamacare exemptionBoth sides of the aisle are in talks about how to get exemptions from certain provisions.
April 25, 2013
SEC Enforcement Roundup: Ralph Lauren Corp. Admits to Bribing Argentine OfficialsRecent actions include a nonprosecution agreement with Ralph Lauren Corp. in a bribery case and the halting of an immigration scheme.
April 23, 2013
Raymond James Upbeat on RegulationPrivate Client Group CEO Chet Helck says much work lies ahead for advisors and the industry groups representing their interests on Capitol Hill.
April 23, 2013
Obama’s Associate Counsel Small Named SEC General CounselThe SEC announced Tuesday that Anne Small, President Obamas special assistant and associate counsel, has been named general counsel of the agency.
April 22, 2013
FINRA Names Its First EVP of Regulatory OpsFINRA announced Monday that Susan Axelrod would become executive vice president of regulatory operations, a newly created position.