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.
Regulation: Still a big industry concern (though a tad less)
By Warren S. HerschLess than half (48 percent) of insurance professionals are concerned about their organizations ability to invest in new compliance technologies.
October 13, 2015
FINRA Slams Santander Securities Over Puerto Rican Muni Bond SalesFirm must pay more than $4 million in restitution, and was censured and fined $2 million.
October 13, 2015
How the insurance industry is saying goodbye to pragmatic regulationAmerica has had an exceptional state-based insurance regulatory system for a long time. It does not require a radical change.
October 13, 2015
How the insurance industry is saying goodbye to pragmatic regulationAmerica has had an exceptional state-based insurance regulatory system for a long time. It does not require a radical change.
October 12, 2015
SEC OKs FINRA BrokerCheck Link RuleBDs will now have to include a "readily apparent reference and hyperlink" to BrokerCheck on their websites.
October 09, 2015
SEC, FINRA Enforcement: Firm Expelled Over KickbacksMeanwhile, a Florida advisor was charged with fraud for pushing risky ETFs and hiding his disciplinary history.
October 09, 2015
Expats Beware: FATCA Tax Data Exchange Is Up and RunningThe IRS can now exchange taxpayer information with some foreign tax administrators.
October 08, 2015
IRS says more scrutiny of plan compliance controls in 2016The Internal Revenue Service has said it will intensify compliance reviews of most classifications of employer-sponsored retirement plans. But other tax-exempt plans will also be subject to review.