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 Fines 3 AIG Advisor Group BDs $9.5M on Excess Fund Fees
By Melanie WaddellSagePoint, Royal Alliance and FSC Securities steered mutual fund clients into more expensive share classes and collected $2 million in fees, the SEC says.
March 11, 2016
HealthCare.gov issuers face a tough new compliance eraA temporary good faith compliance policy has expired.
March 11, 2016
HealthCare.gov issuers face a tough new compliance eraA temporary good faith compliance policy has expired.
March 11, 2016
5 things to know about the DOL fiduciary ruleERISA attorneys talk about the proposed industry-changing standard.
March 11, 2016
5 things to know about the DOL fiduciary ruleERISA attorneys talk about the proposed industry-changing standard.
March 11, 2016
SEC Officials Butt Heads Over Third-Party Advisor AuditsAt IAA conference, two competing approaches to increasing advisor exam frequency: shifting BD examiners to RIAs or third-party audits.
March 11, 2016
Enforcement: SEC Unmasks Fund Manager’s Criminal Past; RIA Ordered to Hire CCOAlso, FINRA nails Arizona broker for making unsuitable recommendations to 12 customers, primarily retirees.
March 10, 2016
3 steps to prepare for DOL fiduciary ruleSEI Advisor Network execs say advisors arent preparing for the new fiduciary rule.