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 Fiduciary Rule to Include ‘Deep Economic Analysis’: Chief White
By Melanie WaddellThe SECs uniform fiduciary proposal for brokers and advisors will include plenty of research on the rules impact on retail investors.
November 17, 2015
Advisors Take Note: Compliance Officers Are WatchingYet only 51% of compliance officers in a Schwab survey said they were very confident that their monitoring policies were effective.
November 16, 2015
SEC’s Aguilar to Leave by Year EndSEC Commissioner Luis Aguilar announced that he will be leaving his post by the end of December.
November 16, 2015
Disability claimants may get quick access to courtsEBSA wants to base new disability appeal standards on PPACA appeal standards.
November 16, 2015
SEC Fines Virtus $16.5M for Failing to Probe F-Squared’s False Performance ClaimsDuring the time Virtus used the false and misleading ads, its AlphaSector fund assets grew from $191 million to $11.5 billion, according to the SEC.
November 16, 2015
Scottrade to Pay $2.6M FINRA Fine Over Email Retention FailuresScottrade failed to adhere to federal securities and FINRA rules under the 'Write-Once, Read-Many' or WORM format
November 13, 2015
Lockton: IRS survey may hint at PPACA employer reporting delayCompliance specialists found clicking on a government website user survey invitation paid off.
November 13, 2015
Lockton: IRS survey may hint at PPACA employer reporting delayCompliance specialists found clicking on a government website user survey invitation paid off.