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.
FINRA Broker Arbitration Task Force Suggests 51 Changes
By James J. GreenThe panel's biggest conclusion: Arbitrators should be paid more.
December 14, 2015
GOP: We need PPACA cost-reduction subsidy informationUpton and Brady say the Obama administration has ignored two requests for program data.
December 14, 2015
DOL Fiduciary Rule, Tax Extenders Hang in Balance as Spending Bill Deadline LoomsThis week is the "most crucial" for Washington this year as a trifecta of events converge, says investment strategist Greg Valliere.
December 11, 2015
SEC Floats Rule to Rein In Funds’ Use of DerivativesPlan would create "modernized, comprehensive regulatory framework" to reflect the evolution of funds derivatives use, says SEC chief Mary Jo White.
December 11, 2015
Morgan Stanley to Pay $225M in Corporate MBS CaseCorporate credit unions purchased faulty residential mortgage-backed securities from the bank, which did not admit fraud in the settlement.
December 11, 2015
SEC, FINRA Enforcement: Lawyers Acted as Brokers in Immigration ScamMeanwhile, FINRA slapped UBS for misrepresenting more than $1 million in muni bond interest paid to clients as tax-exempt.
December 09, 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?
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.