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.
Fed running out of excuses to avoid rate hike, TIAA’s Nick says
By Jordyn HolmanWith the economy picking up steam, there is little reason for the Fed not to raise rates.
October 07, 2016
FINRA’s Top 5 Fine Categories in Potentially Record-Setting YearFINRAs 2016 fines are on pace to shatter the record-setting 2014 fine levels, driven by a sharp increase in supersized fines.
October 06, 2016
SEC Enforcement: Insider Trading, Whistleblower Retaliation and MoreAlso, an investment advisor must pay a penalty for choosing an unqualified administrative assistant as CCO, and other recent actions.
October 05, 2016
Filers paid most reported 2014 ACA IRS bills, watchdog saysAbout 94.5 percent of the filers who owed mandate penalties paid them by December 2015.
October 05, 2016
Clinton Says Wells Fargo Proves Mandatory Arb Should Be BannedPresidential nominee Hillary Clinton pledges to ban mandatory arbitration as Wells Fargo scandal unfolds.
October 05, 2016
The DOL: In your face once more with an overtime pay ruleThe insurance and financial services industries may be headed for "a perfect storm."
October 05, 2016
The DOL: In your face once more with an overtime pay ruleThe insurance and financial services industries may be headed for "a perfect storm."
October 05, 2016
Credit Suisse to Pay $90M to SEC Over Sales Target MalfeasanceCredit Suisse reverse-engineered the process for recognizing net new assets to meet sales targets, says SEC enforcement chief Ceresney.