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 Fines NYSE for Giving Proprietary Customers Head Start on Market Data
By Joyce HansonNYSE Euronext agreed to a $5 million penalty for sending market data to proprietary customers' feeds before broadcasting it publicly, becoming the first exchange to pay an SEC fine.
September 13, 2012
SEC Charges Broker With Stealing Clients’ Money to Pay for Mortgage and GroceriesThe broker and his company based in Danbury, Conn., were charged with stealing at least $600,000 from clients and using the money to pay for his mortgage, grocery bills and other personal expenses.
September 12, 2012
SEC Names Bowden Deputy Director of Exam DivisionThe SEC announced Wednesday that Andrew J. Bowden has been named deputy director of the agencys Office of Compliance Inspections and Examinations (OCIE).
September 12, 2012
Obama vs. Romney: 6 Key Differences on Taxes, RegulationThe two candidates offer voters starkly different ideas on how to reform the tax and financial systems.
September 12, 2012
New Hire Roundup: FINRA Names New Corporate Communications HeadThis week in new hires, FINRA announced that Greg Ahern will be its new head of corporate communications, and Neuberger & Berman welcomed Brendan Gill.
September 11, 2012
Under Shadow of Volcker Rule, AIG Looks to Sell ThriftAmerican International Group plans to sell its savings and loan out of concerns around restrictions imposed by the so-called Volcker rule, not federal regulation.
September 11, 2012
Under Shadow of Volcker Rule, AIG Looks to Sell ThriftAmerican International Group plans to sell its savings and loan out of concerns around restrictions imposed by the so-called Volcker rule, not federal regulation.
September 11, 2012
Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary RuleIn the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been ignored.