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.
Organizational ethics: Grading your own company
By Brian AndersonWhat grade would you give the ethics of the insurance industry? What about the ethics of your own practice?
September 16, 2015
J.C. Penney offering retirees lump sumJ.C. Penney Co. is offering about 31,000 retirees in its defined benefit pension plan the option of a lump-sum payment.
September 16, 2015
View: Unraveling how HealthCare.gov went so, so wrongThe author says health law architects failed to understand how big the exchange project would be.
September 15, 2015
How HealthCare.gov botched $600 million worth of contractsHHS OIG auditors found widespread oversight failures at CMS.
September 15, 2015
How HealthCare.gov botched $600 million worth of contractsHHS OIG auditors found widespread oversight failures at CMS.
September 15, 2015
FINRA Nabs 10 Reps in Risky Broker OpFINRA carefully watches broker migration, especially when reps "move in groups from an expelled or high-risk firm to other securities firms," says FINRA's Axelrod.
September 11, 2015
Senate Finance Takes Up Bill to Thwart Tax ID FraudThe committee plans to mark up a bipartisan bill to help stop identity thieves from fraudulently claiming tax refunds.
September 11, 2015
SEC Enforcement: ‘Indestructible Wealth’ Wasn’t so IndestructibleMeanwhile, a hedge fund exec was accused of pumping up a fund's value to pocket extra fees.