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.
Fred Reish: The Go-To ERISA Expert — The 2016 IA 25
By Melanie WaddellAttorney Fred Reish has been steeped in ERISA law since "before there was an ERISA."
May 06, 2016
SEC Commissioner Calls for New ‘Disclosure Paradigm’The SEC wants to reimagine disclosure and how information can be exchanged between companies and investors, Commissioner Kara Stein said.
May 06, 2016
Enforcement: The ‘Brown Bag Man’ and the Insider Trading TechieThe SEC charged 10 in a stock promoting scheme involving bribery and kickbacks, and it won an insider trading case against a Silicon Valley exec.
May 04, 2016
SEC Charges 2 Fake Brokers, Ex-Broker in Investor FraudThe two fake brokers lured investors with lavish parties and a false sense of urgency around the investment, the SEC said.
May 03, 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 03, 2016
David Grim & Stephen Luparello: SEC Fiduciary Formulators — The 2016 IA 25Grim and Luparello head the SEC divisions that have the unenviable task of formulating a uniform fiduciary rule for brokers and advisors.
May 03, 2016
The DOL fiduciary rule is here. What should advisors do next?An Envestnet webinar for advisors laid out some of the particulars.
May 03, 2016
MetLife fined millions for annuity salesFINRA has fined MetLife Securities, Inc. $25 million for wrongdoing related to some replacement variable annuity sales.