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.
SEC proposes stricter rules on brokers
By Carla MainBrokers would be required to trade at the most favorable prices for clients in the muni bond market.
February 13, 2014
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator DefinitionFINRA's board on Thursday approved three rule proposals including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
February 13, 2014
SEC, FINRA Enforcement: Ponzi Schemer Caught Diverting Victims’ Settlement MoneyIn other actions, FINRA censured and fined a Dayton, Ohio-based firm and its principal on compliance failures.
February 12, 2014
NASAA’s Fleming Named SEC’s First Investor AdvocateRick Fleming, a lawyer, becomes the first person to lead the Office of the Investor Advocate, which was created under Dodd-Frank.
February 12, 2014
Financial Services Execs Stressed Over New RegulationsExecutives worry that changes taking effect this year are distracting attention from core business activities and potentially hindering growth, SunGard found.
February 12, 2014
Brian Hamburger: Stakes Are High for CFP Board in Camardas’ LawsuitThe attorney and founder of MarketCounsel says lawsuit is an "accountability test" for the CFP Board.
February 10, 2014
Midsize firms get more time on PPACA mandateEmployers with fewer than 100 workers wont have to provide health insurance until 2016 under PPACA, as the administration said it would again delay a key requirement of the health law.
February 10, 2014
Midsize firms get more time on PPACA mandateEmployers with fewer than 100 workers wont have to provide health insurance until 2016 under PPACA, as the administration said it would again delay a key requirement of the health law.