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’s Ketchum: 3 Top Exam Priorities for 2016
By Bernice NapachEvery year in Q1, FINRA publishes a letter about its regulatory and exam priorities. On Thursday, CEO Richard Ketchum offered a preview for 2016.
October 14, 2015
Regulation: Still a big industry concern (though a tad less)Less than half (48 percent) of insurance professionals are concerned about their organizations ability to invest in new compliance technologies.
October 14, 2015
Do brokers secretly like the DOL’s proposed fiduciary rule?Brokers might be getting everything they want in a deal--from the DOL's proposed fiduciary rule of all things.
October 13, 2015
UBS to Pay $19.5M Over Structured NotesSEC says this is the first case involving these products and faulty disclosures; it affected 1,900 investors, who lost $5.5 million.
October 13, 2015
FINRA Slams Santander Securities Over Puerto Rican Muni Bond SalesFirm must pay more than $4 million in restitution, and was censured and fined $2 million.
October 13, 2015
How the insurance industry is saying goodbye to pragmatic regulationAmerica has had an exceptional state-based insurance regulatory system for a long time. It does not require a radical change.
October 13, 2015
How the insurance industry is saying goodbye to pragmatic regulationAmerica has had an exceptional state-based insurance regulatory system for a long time. It does not require a radical change.
October 12, 2015
SEC OKs FINRA BrokerCheck Link RuleBDs will now have to include a "readily apparent reference and hyperlink" to BrokerCheck on their websites.