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 Reviews Cross-Selling by 207 Ex-Advisors at Wells Fargo
By Janet LevauxAs senators press for action, the regulatory group says it is checking documents tied to firing or discharge of bank employees.
November 03, 2016
Wells Fargo Facing SEC Probe That Could Focus on DisclosuresCompany reveals agencys investigation in quarterly filing; regulators seek information tied to account scandal, bank says.
November 03, 2016
DOL Rule, Election Weigh on Financial Advisors: Fidelity SurveyBesides political and regulatory developments, advisors surveyed were also increasingly focused on interest rates.
November 02, 2016
FINRA Nails Cetera, Voya & 6 Others Over VA SalesFirms hit with $6.2M in fines for supervisory failures related to variable annuity L-shares.
November 01, 2016
Are Obama Judges ‘Less Friendly’ to Business?Fifty-five judges have been confirmed to the federal appeals courts since 2009, with 31 of those judges replacing Republican appointees.
October 31, 2016
Make IRS.gov your friendTo be the best insurance and financial professional possible, you need access to accurate and dependable information.
October 31, 2016
Make IRS.gov your friendTo be the best insurance and financial professional possible, you need access to accurate and dependable information.
October 31, 2016
Why Wall Street’s Top Cop Criticized by Warren Could Stay AwhileWhite has said that both the Hillary Clinton and Donald Trump campaigns have asked if she would consider staying on.