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.
6 Results if Supreme Court Kills Obamacare Subsidies
By Kathryn Mayer, LifeHealthProThe Supreme Court is expected to make a ruling on the King v. Burwell case any day now.
June 23, 2015
NAIFA members warn of negative impact of DOL fiduciary ruleTwo-thirds of advisors surveyed by NAIFA say they anticipate a loss of business following implementation of the DOL rule.
June 22, 2015
Industry leaders testify on DOL proposalWitnesses who testified on the proposed fiduciary rule to a House subcommittee included experts from Davis and Harman and Fidelity.
June 22, 2015
Industry leaders testify on DOL proposalWitnesses who testified on the proposed fiduciary rule to a House subcommittee included experts from Davis and Harman and Fidelity.
June 22, 2015
Morgan Stanley, Scottrade Fined by FINRA for Failing to Detect Fraudulent Wire TransfersThe firms were alerted to gaps in their systems but went years without correcting them, FINRA says.
June 19, 2015
SEC Enforcement: Fantasy Sports-Style Investing Site Gets a Little Too RealMeanwhile, Massachusetts-based Interinvest Corp. and its owner funneled more than $17 million in client assets into four troubled Canadian penny stock companies, the SEC says.
June 19, 2015
State Street receives SEC Wells notice on pension solicitingThe SEC is investigating State Streets use of lobbyists and consultants, and in at least one instance, political contributions.
June 18, 2015
NAFA: Congresswoman Ann Wagner will ‘punch a bear’ to halt DOLWagner is mad enough to put up her dukes to punch a bear if it means an end to the DOLs fiduciary rule, she joked.