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’s top cop, Khuzami, to leave
By Melanie WaddellThe SECs top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director.
January 09, 2013
SEC’s Top Cop, Khuzami, to LeaveThe SECs top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.
January 09, 2013
SEC Ends Investigation of Buffett’s Former Top AideThe SEC has finished its investigation of Warren Buffetts former possible successor, David Sokol, regarding possible insider trading, and has decided not to take action.
January 08, 2013
FINRA Updates Guidance on Communications With PublicFINRA released in early January an updated set of questions and answers on its new rule on communications with the public.
January 08, 2013
Top 13 Regulatory Predictions for 2013Former SEC Commissioner Annette Nazareth, whos now with Davis Polk & Wardwell, and her colleague Gabriel D. Rosenberg released in early January their list of 13 key regulatory predictions for this year.
January 08, 2013
Kitces on Top 3 Topics for Advisors in 2013—Topic 1: Fiduciary and SROFirst up in an intense year for advisor regulation: movement from the DOL on its fiduciary rule.
January 07, 2013
FINRA advances bonus disclosure plan for brokersFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.
January 07, 2013
FINRA advances bonus disclosure plan for brokersFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.