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.
View: Fighting Obamacare fraud requires funding Obamacare
By The Bloomberg EditorsCould opposition to PPACA help con artists rob the taxpayers?
July 24, 2015
House GOP Tells DOL to Scrap Fiduciary PlanLawmakers from the House committee with jurisdiction over DOL accused it of having an insatiable desire to re-engineer the retirement services industry.
July 24, 2015
SEC, FINRA Enforcement: Ex-Oppenheimer Employees Fined in Penny Stock CaseMeanwhile, FINRA fined Global Strategic Investments LLC for suspicious Venezuelan bond activity.
July 23, 2015
Compliance Data Analytics: Do as Regulators Say AND as They DoFinancial services firms should follow the lead of the SEC and FINRA and use more sophisticated technology tools to improve their compliance programs.
July 23, 2015
The DOL fiduciary rule: reactions from 4 industry associationsThe associations contend that the rule's substantial costs and "burdens" will prompt many brokers to exit the business.
July 23, 2015
The DOL fiduciary rule: reactions from 4 industry associationsThe associations contend that the rule's substantial costs and "burdens" will prompt many brokers to exit the business.
July 23, 2015
4 Ways to Strengthen BICE in DOL’s Fiduciary RuleThe Labor Departments proposed rule is historic and can be improved by industry suggestions, as long that input doesnt weaken the rule.
July 22, 2015
BlackRock says DOL rule against broker bias favors index fundsThe plan questions whether there should be a broad exemption for sales of high-quality, low- fee investments, which BlackRock says would be index funds.