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.
MetLife Securities to Pay $25M to FINRA Over ‘Negligent’ VA Replacements
By Melanie WaddellMetLife's misstatements led customers to replace their annuities with products that were more expensive or had fewer features, FINRA says.
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.
April 29, 2016
The DOL Fiduciary Rule Is Here. What Should Advisors Do Next?An Envestnet webinar for advisors laid out several steps advisors can take to comply with the new rule.
April 29, 2016
Invesco Trust to Pay DOL $10M for ERISA Violations Tied to Collective FundCompany failed to disclose losses to investors when its Invesco Short-Term Investment Funds NAV dropped below $1.
April 29, 2016
House Votes to Block DOL Fiduciary RuleHouse Speaker Paul Ryan applauds resolution's passage, stating that "bureaucrats in Washington, D.C., have no business getting between you and your financial planner."