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 Backs Off Issuing Private Offering Rule
By Melanie WaddellAfter repeated complaints, SEC Chairwoman Mary Schapiro instead will put the rule out Wednesday for public comment.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.
August 17, 2012
Exchange Builders: Where Are the Federal Regulations?Delays in Washington are hindering the states that do want to implement PPACA, officials say.
August 17, 2012
Exchange Builders: Where Are the Federal Regulations?Delays in Washington are hindering the states that do want to implement PPACA, officials say.
August 16, 2012
SEC, FINRA Enforcement Roundup: Football Coach’s Ponzi Scheme; Wells Fargo SlappedRecent actions by the SEC and FINRA ensnared a former Hall of Fame college football coach charged in an $80 million Ponzi scheme and a Wells Fargo vice president for failing to disclose the risks of mortgage-backed securities.
August 16, 2012
Swiss Banks Giving Up Employees to IRS, DOJThousands of employees of Swiss banks are finding that their employers are hanging them out to dry in exchange for hoped-for leniency in connection with American accounts involved in a tax evasion investigation.
August 15, 2012
400 Economists Endorse RomneyA former conservative official has rallied 400 economists, including five Nobel Prize winners, to sign a statement supporting Republican presidential hopeful Mitt Romneys economic policies.