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.
Enforcement: Goldman Trader Barred for Misleading Customers
By Marlene Y. SatterIn another action, Ameriprise was censured and fined by FINRA for failing to supervise its registered reps sales of closed-end funds.
August 18, 2016
DOL roundtable: Views from industry veteransRepresentatives from all sides of the insurance industry recently discussed the implications of the DOL fiduciary rule.
August 18, 2016
DOL roundtable: Views from industry veteransRepresentatives from all sides of the insurance industry recently discussed the implications of the DOL fiduciary rule.
August 16, 2016
Ex-Stifel Broker Loses FINRA Case Over Unauthorized Farm LoanThe broker must pay his former BD after he borrowed money from a client to buy farmland without proper approval.
August 16, 2016
DOL fiduciary rule: On a collision course with the law?The hope and expectations of plaintiffs in three lawsuits is that the DOL's fiduciary rule will be relegated to its proper place: the dustbin.
August 15, 2016
SEC Charges Hedge Fund Manager in Scheme Involving Terminally IllDonald Lathen allegedly paid 60 patients $10,000 each to use their names on accounts, redeeming their investments after they died.
August 15, 2016
Advisors may revamp their practices in wake of DOL ruleA Nationwide survey finds that 87 percent of advisors are now considering changes to how they do business.
August 15, 2016
Advisors may revamp their practices in wake of DOL ruleA Nationwide survey finds that 87 percent of advisors are now considering changes to how they do business.