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.
Did March mark a tipping point in fiduciary rulemaking?
By Knut A. RostadThe DOL displayed renewed energy on its fiduciary rulemaking, while the SEC signaled caution on its fiduciary standard, which may well be a good thing.
April 11, 2014
SEC, FINRA, CFPB Enforcement: BofA Busted for Illegal Credit Card PracticesIn other actions, Hewlett-Packard will have to pay $108 million to settle SEC and DOJ charges of FCPA violations.
April 10, 2014
The Best SEC Speech EverAn SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
April 10, 2014
Ketchum’s Comment on SRO Defeat Isn’t the Final Word, Watchers SayAdvocates from fi360 and IAA say FINRA is merely biding time for a more agreeable Congress before another attempt to gain control over advisor regulation.
April 10, 2014
SEC’s New Investor Advocate Says He Has Broad AuthorityA "big part" of the job will involve policy, said advocate Rick Fleming. Meanwhile, an investor advisory subcommittee proposed SEC crowdfunding guidelines.
April 09, 2014
Stop IRA rollovers ‘immediately,’ expert warns after tax rulingA tax court ruling that only one IRA rollover is allowed per year runs counter to the IRS's interpretation of the tax code.
April 09, 2014
Stop IRA rollovers ‘immediately,’ expert warns after tax rulingA tax court ruling that only one IRA rollover is allowed per year runs counter to the IRS's interpretation of the tax code.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.