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 Charges Former Jefferies Exec With MBS Fraud
By Melanie WaddellThe SEC on Monday charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities in the wake of the financial crisis.
January 24, 2013
SEC’s 16 Biggest Penalties Since Financial CrisisThe SEC recently released a roundup of its financial crisis enforcement actions, highlighting some of the more than 150 firms and individuals the agency has levied charges against since 2008.
January 24, 2013
SEC, FINRA Enforcement Roundup: Egan-Jones Settles Over False StatementsRecent enforcement actions taken by FINRA and the SEC include an order against Westor Capital and its president for misuse of customer shares and funds.
January 24, 2013
Jed Rakoff: The judge who rules on business (Fortune)Rakoff discusses the public revulsion of white collar crime and inflexible sentencing standards.
January 24, 2013
Mary Jo White to be new SEC chairThe former New York prosecuter will oversee the SEC's plan to create a uniform fiduciary standard rule.
January 24, 2013
Mary Jo White to be new SEC chairThe former New York prosecuter will oversee the SEC's plan to create a uniform fiduciary standard rule.
January 24, 2013
Source: Obama picks Mary Jo White to lead SECThe former prosecutor will likely bolster the agencys enforcement profile in the aftermath of the financial crisis.
January 24, 2013
Source: Obama picks Mary Jo White to lead SECThe former prosecutor will likely bolster the agencys enforcement profile in the aftermath of the financial crisis.