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 Fines Deutsche Bank $3.25M for Deficient Disclosures: Enforcement
By Emily ZulzFINRA also fined Allstate Financial Services $1 million for failing to supervise certain communications and transactions.
December 21, 2016
Wagner Law Group to Open Washington OfficeERISA attorney Marcia Wagner says the new office will help navigate "some of the most complicated legal and regulatory landscapes."
December 21, 2016
FINRA’s 12 Fines of Christmas: Wells Fargo, LPL Flub Security of RecordsThe companies were fined a total of $14.4 million, as some firms failed to keep millions of records in the proper electronic format.
December 21, 2016
3 significant challenges for annuity advisors in 2017Thanks to the DOL fiduciary rule, annuity advisors can anticipate reduced compensation, fewer products and a more complicated sales process.
December 21, 2016
3 significant challenges for annuity advisors in 2017Thanks to the DOL fiduciary rule, annuity advisors can anticipate reduced compensation, fewer products and a more complicated sales process.
December 20, 2016
Congress Got Schooled Once by a BD Owner; It Should AgainAs the new administration and Congress contemplate regulatory changes, it would be wise to get input from broker-dealer owners like Peter Schiff.
December 20, 2016
Will the DOL Fiduciary Rule Survive?Dr. Craig Lemoine discusses the future of the DOL rule under Trump and the most prudent course of action to take now.
December 20, 2016
Kidney centers causing coverage nightmares, feds sayThe Centers for Medicare & Medicaid Services says the push to put patients in private plans can disrupt transplants.