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 Broker With Stealing Clients’ Money to Pay for Mortgage and Groceries
By Melanie WaddellThe 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
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.
September 11, 2012
Latest AIG Stock Sale Means Government Has Been Repaid for BailoutThe latest sale of American International Group stock now underway by the U.S. Treasury means that the federal government has fully recouped its investment in the company and has in fact made $15.1 billion, AIG and Treasury officials said Tuesday afternoon.
September 11, 2012
H&R Block: Give Us PPACA Regs by April 30, 2013A major tax preparer is pushing for the IRS and other agencies to issue compliance rules promptly.
September 11, 2012
H&R Block: Give Us PPACA Regs by April 30, 2013A major tax preparer is pushing for the IRS and other agencies to issue compliance rules promptly.