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 says it gave failing grade to 208 test takers by mistake
By Michael J. MooreThe Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam.
September 30, 2015
What Makes the World’s Most Ethical Companies Stand Out?Want to peek inside the doors of the most ethical companies in the world?
September 30, 2015
Wagner Bill Halting DOL Fiduciary Rule Passes House PanelMeanwhile, Brookings economist Robert Litan resigned after Sen. Elizabeth Warren questioned him about the sponsor of a study that panned the proposed rule.
September 30, 2015
Global regulations: The vise on agents and advisors tightensRegulators worldwide are launching an assault on compensation arrangements that conflict with their objectives.
September 30, 2015
Global regulations: The vise on agents and advisors tightensRegulators worldwide are launching an assault on compensation arrangements that conflict with their objectives.
September 29, 2015
FINRA, SEC Wallop UBS Puerto Rico With $33.5M in Penalties Over Closed-End FundsCompany failed to ensure suitability for clients of Puerto Rican CEFs that were highly invested in Puerto Rican municipal bonds; branch manager and rep charged.
September 29, 2015
CFP Board, FPA agree on likely timetable for DOL fiduciary ruleThe final DOL fiduciary rule, regardless of its exact shape, will likely be implemented next year, says Marilyn Mohrman-Gillis of the CFP Board.
September 29, 2015
CFP Board, FPA agree on likely timetable for DOL fiduciary ruleThe final DOL fiduciary rule, regardless of its exact shape, will likely be implemented next year, says Marilyn Mohrman-Gillis of the CFP Board.