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.
How more regulation can help the insurance industry
By Lynette GilRegulation will help protect clients, thus improving the insurance industry's reputation, according to advisor Brenden Barkate.
June 03, 2016
IRS offers employers PPACA penalty estimatorThe agency is also encouraging employers to listen to PPACA penalty webinar recordings.
June 03, 2016
SEC: Couple Used Funds for Cancer Center as ‘Personal Piggy Bank’SEC alleges that the couple exploited Chinese immigrants who were assured they were investing in an innovative project to create jobs and cure cancer patients.
June 03, 2016
Enforcement: Schemers Took Middle-Class Investors’ Money to Casinos and Strip Clubs, SEC SaysMeanwhile, for the first time, the SEC fined a brokerage for failure to file suspicious activity reports.
June 03, 2016
SEC Stance on BD Registration for PE Managers Remains UnclearLittle-noticed cases against private equity firms Blackstreet and Rubicon have failed to dispel the confusion over whether PE managers are required to register as brokers.
June 02, 2016
DOL fiduciary rule targeted in second lawsuitThe Department of Labor was hit with two lawsuits in the same day challenging the fiduciary rule released in April.
June 02, 2016
DOL fiduciary rule targeted in second lawsuitThe Department of Labor was hit with two lawsuits in the same day challenging the fiduciary rule released in April.
June 02, 2016
SEC Names Hetner to New Senior Cybersecurity PostChristopher Hetner will serve as a senior advisor to SEC Chairwoman Mary Jo White on all cybersecurity policy matters.