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.
fi360 urges SEC to consider third-party advisor exams
By Melanie WaddellAs user fees bill and SRO options stall, fi360 urges leveraging third-party compliance reviews
March 18, 2014
Moody's: Insurer SIFIs benefit from Collins clarificationIn clarifying her amendment to the Dodd-Frank Act, Sen. Susan Collins helped SIFI-designated insurers get a credit positive.
March 18, 2014
Moody's: Insurer SIFIs benefit from Collins clarificationIn clarifying her amendment to the Dodd-Frank Act, Sen. Susan Collins helped SIFI-designated insurers get a credit positive.
March 17, 2014
fi360 Urges SEC to Consider Third-Party Advisor ExamsAs user-fees bill and SRO options stall, fiduciary advocate fi360 suggests third-party compliance reviews.
March 17, 2014
FINRA fines Triad Advisors, Securities AmericaFINRA fined the two brokerages for failing to supervise the use of consolidated reporting systems.
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.