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.
GOP to Warren: That Dodd-Frank Rollback Was Just the Appetizer
By Erik Wasson, BloombergThe Republican sponsor of a measure easing a bank regulation is planning to pick new fights in 2015.
December 18, 2014
In Broker Harmonization Debate, the SEC Is the Real ProblemThe current debate over the regulation of brokers and investment advisors has been raging for almost four years now, ever since President Obama signed the Dodd-Frank Act into law back in 2010.
December 17, 2014
Enforcement: Nationwide to Pay $140M in 13-Year ERISA SettlementIn another action, the SEC charged the owner of a home restoration business with securities fraud for selling unsecured notes to investors.
December 16, 2014
FINRA Penalizes Merrill $2.4M Over Pricing of GM NotesThe fine and restitution are tied to markdowns of more than 10% paid to several hundred clients over two years.
December 16, 2014
Eye on Congress, the courts and regulators: 6 questions answeredOringer says the administration is sending mixed signals about how retirement assets should be invested.
December 16, 2014
Eye on Congress, the courts and regulators: 6 questions answeredOringer says the administration is sending mixed signals about how retirement assets should be invested.
December 15, 2014
Investors Say No to FINRA’s CARDS Plan"Data from this survey reveals that investors have serious concerns about the CARDS proposal and the risks such a system could pose to their privacy," says SIFMA CEO Bentsen.
December 11, 2014
SEC, DOL Enforcement: Fiduciaries Fined $4.7M Over Fake Health PlanAlso, co-owners of Reliance Financial Advisors charged with making false statements to clients investing in a risky hedge fund.