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.
Watchdog: IRS used bad Java in PPACA system
By Allison BellTIGTA says the system had problems with checking the math for a health care contribution item.
November 10, 2015
SEC ‘Flat-Out Doing’ a Fiduciary Rule: Chief WhiteSEC must calibrate a fiduciary rule carefully, Chairwoman Mary Jo White said, so it "does not have unintended consequences."
November 10, 2015
Brokers' Views on DOL Fiduciary Rule Seem to Diverge From Their BDs'Broker-dealer firms generally and overwhelmingly reject the Dept. of Labor's BICE requirement as unworkable." Their reps are not so negative.
November 09, 2015
Outsourcing Compliance Officer Role Can Be Rife With Risk: SECSEC exam division urges advisors employing outside compliance providers to be especially mindful of their obligations under the SECs compliance rules.
November 09, 2015
Bipartisan effort in House proposes DOL rule alternativeBipartisan group of lawmakers issues proposal to replace Department of Labor proposed fiduciary rule.
November 09, 2015
Bipartisan effort in House proposes DOL rule alternativeBipartisan group of lawmakers issues proposal to replace Department of Labor proposed fiduciary rule.
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.
November 06, 2015
MetLife says Finra staff recommends ‘significant fine’ of brokerThe probe focuses on potential violations regarding alleged misrepresentations, suitability, and supervision in connection with sales and replacements of variable annuities and certain riders on such annuities.