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.
The FINRA Blotter
By Marlene Y. SatterThe law firm of Sutherland Asbill & Brennan completed in early July its annual review of disciplinary actions brought by FINRA in 2009. By reviewing...
July 31, 2010
Ethics update: Don't take shortcuts to credibilityFINRA is once again warning advisors with securities licenses that using ghostwritten communication materials may violate NASD Rule 2210.
July 31, 2010
SEC 151 faces a double-whammy in WashingtonCourt order, plus likely passage of financial reform bill, expected to quash annuities regulation
July 30, 2010
SEC Charges Wyly Brothers With $550 Million FraudSam and Charles Wyly, Dallas billionaire investors known for their support of conservative candidates, made $550 million in undisclosed profits through 13 years of insider trading, according to a SEC lawsuit filed Thursday, July 29.
July 29, 2010
SEC sues Calif. investment advisorThe Securities and Exchange Commission has sued a California investment advisor for defrauding two clients of at least $274,256.
July 29, 2010
SEC sues Calif. investment advisorThe Securities and Exchange Commission has sued a California investment advisor for defrauding two clients of at least $274,256.
July 29, 2010
Wall Street Reform act begins a new regulatory era for industryWhen President Obama signed H.R. 4173, the Dodd-Frank Wall Street Reform and Consumer Protection Act bill, he created an avalanche of new work for the executive branch.
July 28, 2010
Wall Street Reform act begins a new regulatory era for industryWhen President Obama signed H.R. 4173, the Dodd-Frank Wall Street Reform and Consumer Protection Act bill, he created an avalanche of new work for the executive branch.