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 First Eagle, Affiliate $40 Million for Improperly Charging Shareholders
By Bernice NapachThe firms used shareholder money instead of 12b-1 fees to pay for fund distribution, the SEC said. Similar enforcement actions could be in the offing.
September 18, 2015
FINRA Floats Tougher Expungement RulesFINRA arbitration panels would have to provide a more detailed rationale for granting a rep's request to have black marks wiped off their BrokerCheck report.
September 17, 2015
IRS to expand temporary PPACA coverage reporting reliefThe move will help insurers and employers that leave out some people's Social Security numbers.
September 17, 2015
IRS to expand temporary PPACA coverage reporting reliefThe move will help insurers and employers that leave out some people's Social Security numbers.
September 17, 2015
FINRA Floats Plan to Help Block Elder ExploitationA rule under consideration would place a temporary hold on disbursements from accounts of elderly or disabled people if there is suspected financial exploitation.
September 17, 2015
SEC Removes Ratings References From Money Market Fund Rules"Reducing reliance on credit ratings to determine which securities money market funds can hold is an important part of our efforts," said SEC chief White.
September 16, 2015
Organizational ethics: Grading your own companyWhat grade would you give the ethics of the insurance industry? What about the ethics of your own practice?
September 16, 2015
Organizational ethics: Grading your own companyWhat grade would you give the ethics of the insurance industry? What about the ethics of your own practice?