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.
Panelists say DOL arbitration provision must go
By Nick ThorntonThe first morning of the Department of Labors public hearing on its proposed conflict-of-interest rule brought attention to a provision that could protect advisors from the plaintiffs bar.
August 07, 2015
SEC, FINRA Enforcement: 2 Busted for Selling Fake ‘Charitable Gift’ AnnuitiesMeanwhile, the SEC busted a $114 million Ponzi scheme involving driver safety technology.
August 06, 2015
Democratic Senator Criticizes DOL Fiduciary Rule as Hearings NearSen. Claire McCaskill of Missouri says she's worried about access to advice for small investors; Washington Analysis gives its prognosis for the rule.
August 06, 2015
How the DOL proposal could impact youInsights from NAFA's Chip Anderson at the 2015 Advisor Network Summit.
August 06, 2015
Lawmakers push for PPACA antidiscrimination regulationsRosa DeLauro says even HHS has been vague about Section 1557.
August 05, 2015
SEC backs rule forcing companies to compare CEO and worker payThe SEC approved a rule requiring companies to reveal the pay gap between the CEO and their typical worker.
August 05, 2015
SEC backs rule forcing companies to compare CEO and worker payThe SEC approved a rule requiring companies to reveal the pay gap between the CEO and their typical worker.
August 05, 2015
Ex-Morgan Broker Loses Fight With FINRA Over ‘Forgivable’ NotesBreakaway broker Nick Ragone, who claims FINRA colludes with firms, is livid over a ruling on $400,000 in bonus promissory notes.