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.
Goldman Sachs Pays Fine for Roiling Options Market in 2013
By Nick Baker, Bloomberg, Matt RobinsonGoldman agreed to pay a $7 million fine to settle regulatory claims that it sent thousands of mistaken orders.
June 30, 2015
FINRA Earnings Surge as Fines DoubleThe self-regulator collected more than twice the amount of fines in 2014 as it did a year earlier, though the number of fines fell.
June 30, 2015
Buddy Donohue, Back at SEC, Could Boost Chances of VA Summary Prospectus RuleFormer SEC Commissioner Troy Paredes says there's "opening for movement" on such a rule.
June 30, 2015
FSI Tells Lawmakers Why DOL Fiduciary Plan Is U.N.W.O.R.K.A.B.L.E.FSI "fact sheet" uses each letter in the word "unworkable" to explain the current DOL redrafts faults.
June 30, 2015
DOL fiduciary foes said to be writing best-interest standard billLabor Secretary Thomas Perez noted recently that the fiduciary redraft was a top priority to help strengthen and grow the middle class.
June 30, 2015
DOL fiduciary foes said to be writing best-interest standard billLabor Secretary Thomas Perez noted recently that the fiduciary redraft was a top priority to help strengthen and grow the middle class.
June 29, 2015
Familiar Face Returns to SEC as Two Commissioners Plan ExitA familiar face with deep roots on Wall Street has returned to the Securities and Exchange Commission to help the agency draft its fiduciary rulemaking just as two agency commissioners are planning to exit.
June 29, 2015
Defining ‘Best Interest’ Standard in Fiduciary Debate a Head ScratcherTwo industry trade groups and the Financial Industry Regulatory Authority came out recently with uniform best interest standards in an attempt to squelch what they say will be competing fiduciary plans to be issued by the Department of Labor and the Securities and Exchange Commission.