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.
Preventing and Fixing Broken 401(k) Plans: 12 Common Compliance Errors
By Bruce Tannahill, J.D., CPA, CLU and Louis R. Richey, J.D.This excerpt from The Advisors Guide to 401(k) Plans serves up expert advice for plan sponsors and administrators.
April 17, 2014
FINRA to mull beefing up broker background checksThe FINRA board will consider an amendment to its supervision rule on April 24.
April 17, 2014
SEC, FINRA, DOL Enforcement: Iowa Advisor to Repay 68 Pension PlansIn other actions, FINRA censures and fines New York-based Banesto Securities Inc., now known as Santander International Securities Inc., $650,000 for custody failures.
April 16, 2014
FINRA to Mull Beefing Up Broker Background ChecksFINRA announced Wednesday that its board will consider a proposed amendment to FINRA Rule 3110 regarding background investigations of applicants for registration.
April 16, 2014
SEC Charges San Diego Firm, Execs in Kickback SchemeSEC charged a San Diego-based investment advisory firm, two executives and another employee for misleading investors and breaching their fiduciary duties.
April 15, 2014
American Volunteerism Hit Bottom in 2013The number of Americans volunteering for nonprofits hit a new low in 2013, according to an analysis of federal statistics by The Chronicle of Philanthropy.
April 15, 2014
SEC’s new investor advocate says he has broad authorityThe Investor Advisory Committee appointed a new chair and Dodd-Frank has his back.
April 15, 2014
SEC’s new investor advocate says he has broad authorityThe Investor Advisory Committee appointed a new chair and Dodd-Frank has his back.