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.
Harbinger Capital COO to Pay SEC Fine Over Falcone Scheme
By Melanie WaddellPeter Jenson admits wrongdoing in scheme to misappropriate millions from a hedge fund they managed to pay Falcones personal taxes.
July 24, 2014
SEC OKs FINRA Rule on Expungement of Broker Black MarksThe rule helps to reduce FINRAs lack of transparency about a brokers complaint history, said investor lawyer Jason Doss.
July 23, 2014
How employers will react to the split PPACA subsidy rulingsThe conflicting opinions set up a classic situation where the Supreme Court will likely be called on to resolve the difference in the circuits.
July 23, 2014
MetLife SIFI designation imminentIn designating MetLife at this time, the FSOC would be ignoring the House Financial Services Committee.
July 23, 2014
Barney Frank Cheers FSOC for Role in Money Market Fund OverhaulBefore a House committee, Barney Frank commented on several controversial aspects of his namesake financial reform law, including one that makes him "nervous."
July 23, 2014
MetLife SIFI Designation ImminentIn designating MetLife at this time, the FSOC would be ignoring the House Financial Services Committee.
July 22, 2014
House bar on SEC fiduciary rule likely DOA in SenateSenate likely to throw out Rep. Lankford's amendment; entire bill likely to stall, says IAA's Tittsworth
July 22, 2014
House bar on SEC fiduciary rule likely DOA in SenateSenate likely to throw out Rep. Lankford's amendment; entire bill likely to stall, says IAA's Tittsworth