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.
HHS proposes birth control mandate compromise
By Allison BellCritics say sponsors' plans would still be a gateway to drugs and services the sponsors oppose.
August 22, 2014
Enforcement Roundup: Standard Chartered to Pay $300M, Cut ServicesIn another enforcement action, the SEC charged a former bank exec and his friend with insider trading.
August 20, 2014
What Elizabeth Warren Fails to Understand About FinanceLaw professor Todd Zywicki says the primary victims of well-intentioned but paternalistic bureaucrats are the very people they are meant to protect, especially lower-income Americans.
August 20, 2014
SEC Money-Market Plan Could Cause ‘Pre-emptive Runs’: NY FedThe Federal Reserve Bank of New York and the SEC arent exactly seeing eye to eye on controlling risk in money market funds.
August 20, 2014
DOL Seeks Feedback on Brokerage Windows in 401(k)sThe range of investments available in the "window" and how much disclosure workers get about them are some of the questions DOL wants answered.
August 20, 2014
Rogue advisors on paradeThere is no shortage of bad apples giving a bad name to the industry. They just can't seem to help themselves.
August 20, 2014
Rogue advisors on paradeThere is no shortage of bad apples giving a bad name to the industry. They just can't seem to help themselves.
August 19, 2014
SEC Begins Exams of Municipal Advisors; Focus on "Identified Risks"Over the next two years, OCIE plans to examine a significant percentage" of muni advisors, "establishing a presence" and focusing on risk.