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.
Moody's: Insurer SIFIs benefit from Collins clarification
By Phil GusmanIn clarifying her amendment to the Dodd-Frank Act, Sen. Susan Collins helped SIFI-designated insurers get a credit positive.
March 14, 2014
FINRA sends broker bonus plan to SEC for approvalAfter reviewing the proposal, the SEC could put it out for public comment or approve it.
March 14, 2014
Former NAPFA Chairman Mark Spangler Sentenced to 16 Years in PrisonSpangler was convicted of fraud and money laundering; the long sentence reflects his lack of remorse, the judge reportedly said.
March 14, 2014
SEC busts variable annuity scam targeting terminally illTwo brokers, an advisory firm and several others conducted an elaborate death benefits scam, a regulator says.
March 14, 2014
SEC busts variable annuity scam targeting terminally illTwo brokers, an advisory firm and several others conducted an elaborate death benefits scam, a regulator says.
March 14, 2014
Hospitals fear federal subcontractor statusProvider groups are fighting to stay out of a discrimination compliance program.
March 14, 2014
FINRA Sends Broker Bonus Plan to SEC for ApprovalIf approved, brokers would need to disclose their recruitment comp to clients following them to their new firm for a year after the broker's move.
March 13, 2014
SEC Enforcement: Goldman’s ‘Fabulous Fab’ Ordered to Pay More Than $825,000In other financial enforcement news, two brothers charged by the SEC with insider trading last June were found guilty by a jury.