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.
Chamber questions DOL fiduciary rule’s cost estimates
By Nick ThorntonIn a comment letter sent to the DOL last month, the U.S. Chamber of Commerce took issue with cost estimates.
July 07, 2015
8 Top Concerns of SEC Investor AdvocateMillennials, fiduciary duty and retirement readiness are on the investor advocates policy agenda for fiscal year 2016.
July 07, 2015
‘Dissident’ Candidate Vies for FINRA Board SeatWith FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
July 03, 2015
New insurance advocacy group calls on DOL to withdraw ruleA non-profit working to extend the reach of fixed-income insurance products in workplace retirement plans called on the DOL to withdraw its proposed fiduciary standard.
July 03, 2015
New insurance advocacy group calls on DOL to withdraw ruleA non-profit working to extend the reach of fixed-income insurance products in workplace retirement plans called on the DOL to withdraw its proposed fiduciary standard.
July 02, 2015
SEC Enforcement: AlphaBridge Capital, Deloitte & Touche ChargedSEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
July 01, 2015
SEC Floats Compensation Clawback RulesSEC seeks comments on rules that would require companies to claw back incentive-based executive compensation that later is shown to have been awarded in error.
July 01, 2015
SEC: Ex-Broker Sold Clients Fake CDs With 12% InterestFormer advisor Malcolm Segal is accused of a $15.5 million Ponzi scheme involving bank CDs some real and some nonexistent.