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.
Ethics update: Don't take shortcuts to credibility
By National Ethics BureauFINRA is once again warning advisors with securities licenses that using ghostwritten communication materials may violate NASD Rule 2210.
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.
July 28, 2010
SEC Seeks Public Comments, 'Greater Transparency' on New Financial RegulationsLess than a full week after President Obama signed sweeping financial regulation into law, the SEC announced Tuesday, July 27, several initiatives to make the study and rulemaking process "open" and "transparent."
July 28, 2010
SEC Seeks Public Comment, 'Greater Transparency' on Financial Re-regulationNow hear this: the SEC has heard investors' concerns and will address them as it remakes the rules.
July 27, 2010
Dodd-Frank: SEC Issues Call for CommentsThe U.S. Securities and Exchange has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process.