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.
SEC: Couple Used Funds for Cancer Center as ‘Personal Piggy Bank’
By Melanie WaddellSEC 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 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.
June 02, 2016
DOL’s Perez Vows to Fight Fiduciary Rule LawsuitThe nine plaintiffs, including SIFMA and FSI, seek to have the rule vacated, thrown out by the court.
June 01, 2016
DOL Fiduciary Lawsuit Said to Be in OffingThe suit could be filed today, Thursday or next week, an industry official says.
June 01, 2016
View: Obamacare, executive power and the rule of lawSo, where is the power of the purse really located?
June 01, 2016
Clock is ticking on DOL fiduciary complianceAdvisors shouldnt dilly-dally in complying with the Department of Labors new rule, says prominent fiduciary attorney Fred Reish.