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.
Overseas Tax Havens Under the Microscope as Governments Call for Tighter Regulations
By Marlene Y. SatterDemands for tighter regulations and more transparency could change the way countriesand companiesdo business.
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.
April 22, 2013
SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of EnforcementSEC 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 billThe legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.
April 19, 2013
Rep. Waters reintroduces SEC user fees billThe legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.