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.
Report: Insurers investing heavily to comply with global regs
By Warren S. HerschAlmost 9 in 10 institutions surveyed by Accenture say that GSR will increase the industrys profitability.
July 13, 2015
IRS, Treasury Close Alt Investment Tax LoopholeSen. Ron Wyden applauds the move to "bring the hammer down on these basket options once and for all."
July 10, 2015
Wells Fargo Grabs Morgan Stanley, Merrill Reps as Raymond James Nabs UBS TeamThe four new Wells Fargo advisors come on board with some $900 million in assets; the new RJ group has some $300 million.
July 10, 2015
Enforcement: Chase to Pay $136M Over Debt Collection PracticesMeanwhile, FINRA barred five brokers for a sham private placement offering.
July 09, 2015
Fitch warns of potential disruptions from DOL ruleDisclosure requirements in the fiduciary rule proposed by the DOL could present hidden surprises to RIAs fee-based model, analysts at Fitch say.
July 09, 2015
Fitch warns of potential disruptions from DOL ruleDisclosure requirements in the fiduciary rule proposed by the DOL could present hidden surprises to RIAs fee-based model, analysts at Fitch say.
July 09, 2015
Bill Allows SEC to Greatly Boost FinesSEC Penalties Act increases the per-violation cap for serious offenses to $1 million per violation for individuals and $10 million for firms.
July 09, 2015
Presidential Candidate O’Malley Unleashes Wall Street Crackdown ManifestoThe 10-page manifesto by former Gov. Martin O'Malley of Maryland promises to boost regulators' budgets and punish misbehaving banks more harshly.