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.
FINRA’s 6 Critical Tips Before Buying ETNs
By Marlene Y. SatterFINRA wants to make sure that investors are aware of the differences between ETNs and other, perhaps more traditional, investmentslest investors be taken unaware and get in over their heads.
July 11, 2012
MetLife manager fined and suspended in FINRA life settlement case (Forbes)Without admitting or denying the findings, William F. Weiss submitted a Letter of Acceptance, Waiver and Consent, which FINRA accepted.
July 11, 2012
MetLife manager fined and suspended in FINRA life settlement case (Forbes)Without admitting or denying the findings, William F. Weiss submitted a Letter of Acceptance, Waiver and Consent, which FINRA accepted.
July 10, 2012
FSI Fires Back on DOL's 'Disappointment' with Industry Data CollectionThe FSI's letter is a direct response to the June 20 letter from Phyllis Borzi to Congressmen, Education and Workforce Committee Chair John Kline, R-Minn., and Ranking Member George Miller, D-Calif.
July 09, 2012
SEC Names Drake as Chief Compliance and Ethics Officer for OCIEOCIE director Carlo diFlorio says Paula Drake will help OCIE with the continued advancement of the national examination program, including leading the critical legal function, developing our national examination policy manual, and overseeing our internal compliance team.
July 07, 2012
IRS to Help Ex-Pats, Dual Citizens Catch Up on Tax FilingsNew procedures will cover missed tax returns and FBARs, based on taxpayers compliance risk profiles.
July 06, 2012
SEC’s Rominger Replaced by Champ, a Former Hedge Fund CounselNorm Champ, who's been with the SEC since 2010, brings his understanding of financial chicanery to bear on investment funds and advisors.
July 06, 2012
Fed Again Asks Court to Dismiss Greenberg SuitThe Federal Reserve Board of New York again asked a federal court in Manhattan to dismiss a lawsuit filed by Maurice Greenberg related to how the government provided financial aid to American International Group in 2008.