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 Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement
By Melanie WaddellSEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.
April 19, 2013
Rep. Waters Reintroduces SEC User Fees BillRep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.
April 18, 2013
Healing in Boston as investigators seek 2 seen near bombingThe FBI have two men of interest, but no hard proof the men are tied to the bombing.
April 18, 2013
SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off BrotherAmong recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.
April 18, 2013
Congress must fix advisor exams now: SEC’s WalterSwitching advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, Walter said.
April 18, 2013
Congress must fix advisor exams now: SEC’s WalterSwitching advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, Walter said.
April 17, 2013
Congress Must Fix Advisor Exams Now: SEC’s WalterThe switching of advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, SEC Commissioner Elisse Walter told state securities regulators.
April 17, 2013
SEC’s Aguilar: Predispute Mandatory Arbitration Denies Investors’ RightsA clients right to go to court to recover monetary damages is an important right that should be preserved and kept in the clients toolkit, SEC Commissioner Luis Aguilar told state securities regulators Tuesday.