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 Slaps 3 BDs for Consolidated Reporting Failures
By Melanie WaddellInadequate reporting controls raise risk that "unscrupulous representatives will provide inaccurate and misleading reports to their clients to conceal fraud and theft, says FINRA's Bennett.
March 27, 2015
Highways to PPACA tax penalty freedomFor some, Page 2 of the Instructions for Form 8965 may be as exciting as a Stephen King novel.
March 27, 2015
Highways to PPACA tax penalty freedomFor some, Page 2 of the Instructions for Form 8965 may be as exciting as a Stephen King novel.
March 27, 2015
IRI: VA summary prospectus rule from SEC may finally be comingDOL fiduciary redraft likely released from OMB in first two weeks of April; expert doesnt see a true SEC fiduciary standard for brokers.
March 27, 2015
IRI: VA summary prospectus rule from SEC may finally be comingDOL fiduciary redraft likely released from OMB in first two weeks of April; expert doesnt see a true SEC fiduciary standard for brokers.
March 27, 2015
FINRA Enforcement: Oppenheimer to Pay $3.75M for Failure to Rein In BrokerMeanwhile, FINRA fined Ameriprise Financial over a rep who hid a customer complaint.
March 26, 2015
IRI: VA Summary Prospectus Rule From SEC May Finally Be ComingIRI, the annuity trade group, also sees the DOL's fiduciary plan advancing in early April.
March 26, 2015
SEC Chair Wants Activist Fights to Be NicerM&A lawyers and bankers want to know what the SEC is going to do about various activist fights. Chairwoman White's speech offers a few clues.