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.
Celgene accused of using charities in ‘scheme to gain billions’
By Ben Elgin and Robert LangrethDrug makers can help patient support charities, but they can't waive patients' drug co-pays.
July 29, 2016
FINRA Reminds BDs of Arbitration Rights for Clients, RepsThe self-regulator puts firms on notice that customers and reps can't be forced to waive their FINRA arbitration rights.
July 29, 2016
SEC Enforcement: Fake Brokers Charged With Taking $5M From Clients, Going to PradaIn another action, two former brokers were charged with taking client money and hiding their disciplinary histories.
July 29, 2016
No-worry selling — solicit straight to win bigSelling ethically from the start can help you avoid problems down the road.
July 28, 2016
7 secrets DOL may squeeze out of health plan sponsorsThe proposed Schedule J could show outsiders how an employer is doing.
July 28, 2016
7 secrets DOL may squeeze out of health plan sponsorsThe proposed Schedule J could show outsiders how an employer is doing.
July 28, 2016
DOL, SEC Fee Scrutiny Sparks Shift to Passive InvestingUse of passively managed funds and ETFs at indie BDs and wirehouses will continue to accelerate, says Broadridge.
July 26, 2016
Justice Dept. Tallies Cost to IRA Investors of No DOL Fiduciary RuleLawsuits against the DOL's rule moved forward, but the DOJ defended it in a separate court.