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.
Voya to Pay $3.1M for Not Disclosing Payments Tied to Fund Sales
By Janet LevauxThe advisor group will pay penalties for failing to tell clients about revenue collected from a third-party BD, the SEC said.
March 08, 2017
Labor Pick Acosta’s Nomination Hearing Set for March 15Acosta "understands how harmful Obama-era labor regulations have made it harder for Americans to create, find or keep good-paying jobs," said HELP Committee chair.
March 07, 2017
Plans received $28 billion in 2016 ACA advance premium aidTIGTA says the agency had some trouble managing tax credit users' tax returns.
March 07, 2017
Comments Flood In on DOL Fiduciary Rule DelayMeanwhile, the D.C. Circuit published the schedule for NAFAs appeal of a judge's refusal to stop the rule.
March 03, 2017
FINRA’s 5 Biggest Fine Categories in 2016Fines ordered by FINRA in 2016 shattered the self-regulators previous record from 2014, Eversheds Sutherland found.
March 03, 2017
SEC Freezes Assets of Unknown Traders in Suspected Insider Trading: EnforcementIn other enforcement news, SEC obtained final judgments in a case involving an international pyramid scheme targeting Latinos.
March 03, 2017
SEC to Probe Advisor, BD Fiduciary Compliance With ReTIRE InitiativeGone are the days of a long, full-scope exam, said acting exam director Pete Driscoll.
March 02, 2017
'As of Today,' April 10 Is DOL Fiduciary Compliance Date: AttorneyAt IAA compliance conference, the DOL fiduciary rule delay, the SEC and the Financial Choice Act take center stage.