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.
Why Isn’t the SEC Doing Its Real Job?
By Bob ClarkTwo readers identify the real problem with the SEC: it focuses on compliance with the letter of the law, rather than trying to catch the bad guys.
August 01, 2012
FINRA Fee Increases May Raise Sticker Price on Financial AdviceFINRAs proposed 25% increase in fees on financial service firms may become a reality within the next few months, and it is important that all financial advisors stop and take note of the potential consequences.
July 31, 2012
When SEC and FINRA Strike, Sometimes It Pays to Strike BackBDs and reps who sue regulators may be rewarded with dismissed charges and smaller fines.
July 31, 2012
When SEC and FINRA Strike, Sometimes It Pays to Strike BackBDs and reps who sue regulators may be rewarded with dismissed charges and smaller fines.
July 31, 2012
SEC Wants More Power Over Muni Bond MarketThe 165-page report asks Congress for sweeping reforms, focusing on two key areas of concern: disclosure and market structure
July 30, 2012
To Thwart SRO, Rep. Waters Introduces User Fee BillAs she said she would, Rep. Maxine Waters, D-Calif., introduced on Wednesday the Investment Adviser Examination Improvement Act of 2012, which would allow the Securities and Exchange Commission (SEC) to collect user fees from advisors to fund their exams in lieu of a self-regulatory organization (SRO).
July 30, 2012
To Thwart SRO, Rep. Waters Introduces User Fee BillAs she said she would, Rep. Maxine Waters, D-Calif., introduced on Wednesday the Investment Adviser Examination Improvement Act of 2012, which would allow the Securities and Exchange Commission (SEC) to collect user fees from advisors to fund their exams in lieu of a self-regulatory organization (SRO).
July 30, 2012
When SEC and FINRA Strike, Sometimes It Pays to Strike BackA just-released annual study by Sutherland, Asbill & Brennan finds that sometimes it pays for reps and BDs to litigate against regulators instead of settling.