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.
Morgan Stanley to Pay $225M in Corporate MBS Case
By J. Daniel YoungCorporate credit unions purchased faulty residential mortgage-backed securities from the bank, which did not admit fraud in the settlement.
December 09, 2015
SEC Investor Advocate Wants Elder Fraud Rule for RIAsSEC Investor Advocate Rick Fleming says he's looking into a rule for RIAs that would pause transactions in the case of elder fraud.
December 09, 2015
Rep. Polis at center of DOL fiduciary stormAdvocates of the DOL fiduciary rule say requiring a new comment period is misguided and would kill the rule.
December 09, 2015
Rep. Polis at center of DOL fiduciary stormAdvocates of the DOL fiduciary rule say requiring a new comment period is misguided and would kill the rule.
December 09, 2015
DOL Out of Bounds With Fiduciary Rule: Bachus, KotzAlso, RIA examiners have a competency problem, former Rep. Spencer Bachus and former SEC Inspector General David Kotz say at MarketCounsel Summit.
December 08, 2015
5 not-so-bold regulatory predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for billable hours but not for bottom lines.
December 08, 2015
5 not-so-bold regulatory predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for billable hours but not for bottom lines.
December 08, 2015
Ethics down under: Why U.S. should take note of Aussie regulation pushWhat can the U.S. financial community learn from this Aussie endeavor?