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, DOL must collaborate on ‘overlapping’ IRA fiduciary standards: attorney Mason
By Melanie WaddellThe two agencies are "constrained by and must follow very different statutory mandates," says Tittsworth of IAA.
April 12, 2013
Firm Accused of Bilking NFL, NBA PlayersFINRA said Thursday that it had levied a temporary cease-and-desist order against Success Trade Securities and its CEO for fraud involving 58 investors, many of them current or former NFL and NBA players.
April 12, 2013
Ex-KPMG Partner Accused of Trading Insider Tips for ‘Bags of Cash and a Rolex’The SEC on Thursday charged the former partner in charge of KPMGs Pacific Southwest audit practice and his friend with insider trading.
April 11, 2013
SEC Would Use Obama Budget Boost for Advisor ExamsThe agency would use the extra funds to hire 325 examiners250 of whom would be devoted solely to advisor exams.
April 11, 2013
White sworn in; SEC commissioner departures loomPresident Obama is likely to name replacements for commissioners Walter and Paredes in a matter of weeks.
April 10, 2013
SEC Skates in Madoff CaseRuling deals a final blow to investors who claimed negligence on the part of the regulatory body.