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.
Agency eyes LTC advice service ads
By Allison BellThe Federal Trade Commission tells two companies to describe what they do more precisely.
September 18, 2012
Sen. Corker: SEC Nearing a Money-Market Fund SolutionThe senator urged the SEC in a letter to move ahead with further reform, saying a run on money-market funds is still a real risk.
September 17, 2012
Obama vs. Romney: 6 key differences on taxes, regulationWhich way will the candidates take the country?
September 17, 2012
Obama vs. Romney: 6 key differences on taxes, regulationWhich way will the candidates take the country?
September 14, 2012
Merrill to Pay Brazilian Heiress $3.6MThe case involves losses tied to unauthorized trading by a member of the Nasser family, a prominent banking family in Brazil.
September 14, 2012
SEC Fines NYSE for Giving Proprietary Customers Head Start on Market DataNYSE 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 Enforcement Roundup: Broker Charged With Stealing to Pay for Mortgage, GroceriesAmong recent SEC enforcement actions were charges that a broker stole client funds and used them to pay for his own personal expenses, including groceries and a mortgage.
September 13, 2012
Lawmaker Calls SEC’s Delay on JOBS Act Promotion Rule ‘Completely Unacceptable’The House hearing on Thursday addressed crowdfunding and concerns on how to verify "accredited investors" for the purpose of advertising private offerings.