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, FINRA, State Exam Execs Lay Out Priorities
By Melanie WaddellPriorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
June 13, 2013
Businessman sued over alleged misuse of pensionDividend checks from an annuity that should have been paid to the pension fund were instead deposited in corporate accounts.
June 13, 2013
IRS posts advice on new research feePCORI is supposed to find out which treatments give the best bang for the buck.
June 13, 2013
IRS posts advice on new research feePCORI is supposed to find out which treatments give the best bang for the buck.
June 11, 2013
CBOE to Pay $6M Fine to SEC Over Regulatory ‘Breakdowns’The CBOE was charged with various violations, including a failure to enforce or even fully comprehend rules to prevent abusive short selling.
June 11, 2013
FINRA: 6 Factors to Consider Before Investing in Alternative FundsFINRA is warning investors about the risks of treating alternative mutual funds like traditional mutual funds, citing their more nontraditional investment holdings and more complex trading strategies.
June 11, 2013
The IRS and your healthWhat if the IRS had the power to control access to medical care?
June 10, 2013
Pershing’s Collaborative Culture and CEO DeCicco’s PrioritiesIn an interview during Insite 2013, CEO Ron DeCicco and COO Lisa Dolly discuss the custody and clearing firms priorities and human capital culture.