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.
David Grim & Stephen Luparello: SEC Fiduciary Formulators — The 2016 IA 25
By Melanie WaddellGrim and Luparello head the SEC divisions that have the unenviable task of formulating a uniform fiduciary rule for brokers and advisors.
May 03, 2016
MetLife Securities to Pay $25M to FINRA Over ‘Negligent’ VA ReplacementsMetLife's misstatements led customers to replace their annuities with products that were more expensive or had fewer features, FINRA says.
May 02, 2016
MetLife faces record FINRA fine for misleading annuity customersThe insurer agreed to pay $25 million, the largest variable annuity penalty set by the Financial Industry Regulatory Authority.
May 02, 2016
House votes to block DOL fiduciary ruleRepublicans argue the fiduciary rule is Obamacare on retirement advice.
May 02, 2016
House votes to block DOL fiduciary ruleRepublicans argue the fiduciary rule is Obamacare on retirement advice.
May 02, 2016
FINRA Sends Market Manipulation Report CardsThe regulator also wants to add another member to its disciplinary tribunal, NAC.
April 29, 2016
Enforcement: SEC Bars, Fines Principals for Not Supervising CCOThe SEC plans to reverse a March decision that would have allowed former Quadrangle Group Chairman Steven Rattner to return to the securities industry.
April 29, 2016
Colleen Bell: Cambridge’s DOL Compliance Driver — The 2016 IA 25On the DOL fiduciary rule, Bell says, "We wanted to know what our advisors needed, so we needed to think like our advisors.