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.
J.C. Penney offering retirees lump sum
By Nick ThorntonJ.C. Penney Co. is offering about 31,000 retirees in its defined benefit pension plan the option of a lump-sum payment.
September 15, 2015
How HealthCare.gov botched $600 million worth of contractsHHS OIG auditors found widespread oversight failures at CMS.
September 15, 2015
How HealthCare.gov botched $600 million worth of contractsHHS OIG auditors found widespread oversight failures at CMS.
September 15, 2015
FINRA Nabs 10 Reps in Risky Broker OpFINRA carefully watches broker migration, especially when reps "move in groups from an expelled or high-risk firm to other securities firms," says FINRA's Axelrod.
September 11, 2015
Senate Finance Takes Up Bill to Thwart Tax ID FraudThe committee plans to mark up a bipartisan bill to help stop identity thieves from fraudulently claiming tax refunds.
September 11, 2015
SEC Enforcement: ‘Indestructible Wealth’ Wasn’t so IndestructibleMeanwhile, a hedge fund exec was accused of pumping up a fund's value to pocket extra fees.
September 10, 2015
Bill Halting DOL Fiduciary Rule to Move AheadHouse Financial Services Chairman Jeb Hensarling says he'll advance Rep. Ann Wagner's Retail Investor Protection Act as it "will stop" the DOL's "misguided" fiduciary rule.
September 09, 2015
Rep. Wagner Wants Bill to Halt DOL Fiduciary Rule Marked Up by Month-End"DOL is dug in on this, but Im pretty dug in, too," Wagner said ahead of a Thursday hearing on her bill.