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.
CFP Board Request for Camardas' Client List Raises Eyebrows
By Melanie WaddellThe latest filing in the CFP Board/Camarda legal tussle is raising some questions about privacy rules, Brian Hamburger of MarketCounsel says.
August 29, 2014
Credit rater profits spared in SEC rules that police conflictsThe SEC's 3-2 vote came four years after Congress directed the agency to find ways to root out conflicts.
August 28, 2014
SEC, FINRA Enforcement: Citi Global Markets Fined $2 MillionIn another action, an investor relations firms exec was charged with insider trading.
August 27, 2014
PPACA auditors are out therePlans are already facing medical loss ratio audits, officials say.
August 27, 2014
PPACA auditors are out therePlans are already facing medical loss ratio audits, officials say.
August 27, 2014
SEC Tightens Rules on Credit Rating Agencies, Asset-Backed SecuritiesABS issuers and rating agencies will be held accountable under significant new rules governing their activities," said SEC's White.
August 27, 2014
AIG's ex-CEO Hank Greenberg suit cleared for trialA federal judge clears for trial a claim by Maurice Greenberg, former chairman and CEO of AIG.
August 27, 2014
AIG's ex-CEO Hank Greenberg suit cleared for trialA federal judge clears for trial a claim by Maurice Greenberg, former chairman and CEO of AIG.