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, FINRA Enforcement: Firm Expelled Over Kickbacks
By Marlene Y. SatterMeanwhile, a Florida advisor was charged with fraud for pushing risky ETFs and hiding his disciplinary history.
October 08, 2015
IRS says more scrutiny of plan compliance controls in 2016The Internal Revenue Service has said it will intensify compliance reviews of most classifications of employer-sponsored retirement plans. But other tax-exempt plans will also be subject to review.
October 07, 2015
Blackstone Group to Pay SEC $39M Over Fee ArrangementsBlackstone failed to adequately disclose the acceleration of monitoring fees paid by fund-owned portfolio companies prior to the companies sale or IPO.
October 07, 2015
GOP Lawmakers Press DOL to Reissue Amended Fiduciary RuleGOP to Perez: We strongly urge you to provide stakeholders with an opportunity to review the changes before the rule advances to OMB.
October 06, 2015
SEC Needs to Move on Fiduciary Rule, Ex-SEC Chiefs SayAt TD Ameritrade Advocacy Leadership event, ex-SEC Chairwoman Mary Schapiro said, I feel very strongly the SEC needs to move forward now on fiduciary.
October 02, 2015
NAIFA CEO Kevin Mayeux: There's "no limit to what we can achieve"The association's new CEO discussed, among other things, NAIFA's full-court press against the Department of Labor's proposed fiduciary rule and new professional development programs.
October 01, 2015
Wagner bill halting DOL fiduciary rule passes House panelWagner said the DOL rule would bring "unintended or possibly intended" consequences to retirement savers.
October 01, 2015
Wagner bill halting DOL fiduciary rule passes House panelWagner said the DOL rule would bring "unintended or possibly intended" consequences to retirement savers.