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.
DOL’s Borzi: Fiduciary redraft could advance by year end
By Melanie WaddellDespite the likely House passage of the Wagner bill, Obama threatens to veto it. Were a long way from having a law, says Borzi.
October 28, 2013
Exam Update: Are You Ready for the SEC?I have just finished two weeks of traveling the country speaking to advisors. The topic: Where have regulators focused during recent exams?
October 28, 2013
‘Alarming’ Number of Broker Arbitration Records Wiped Clean: StudyA study of more than 1,600 arbitration cases over the past five years shows an alarmingly high rate of brokers who were able to get their arbitration histories wiped clean, according to a report released in mid-October by the Public Investors Arbitration Bar Association (PIABA).
October 28, 2013
How the SEC Plans to Be ‘Everywhere’Despite limited resources, the agency is leveraging its strengths to zero in on advisors smallest infractions.
October 28, 2013
Bill to kill SEC, DOL fiduciary rules heads for house voteThe Retail Investor Protection Act will come up for a vote on Tuesday, and is likely to pass.
October 28, 2013
House to grill Tavenner, SebeliusOne question: How many people have actually enrolled in plans through HealthCare.gov?
October 28, 2013
DOL Focusing on ‘Major Cases,’ Particularly Fee DisclosureWhat triggers a DOL investigation? What will DOL ask for during one? And how should retirement planning officials handle such inquiries?
October 28, 2013
Bill to Kill Fiduciary Rules by SEC, DOL Heads for House VoteThe Retail Investor Protection Act may even pass the Senate, said an industry official, especially if it gets strong bipartisan support in the House.