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.
FINRA Warns BDs to Better Manage Conflicts of Interest
By Melanie WaddellFINRA says it may make a new disclosure rule if BDs fail to implement fiduciary-like methods to handle conflicts.
October 17, 2013
FIO report: The hinge on insurance regulationThe release of a report one that was due more than a year ago on how the insurance industry should be modernized has taken on new urgency.
October 17, 2013
SEC, CFTC Enforcement: Knight Capital Fined $12M in Market Access DebacleThe CFTC got an acknowledgment from JPMorgan of fault in the London Whale case, while the SEC won one high-profile case and lost another.
October 17, 2013
The 2 biggest causes of fiduciary liability in 401(k)sIt all comes down to this: Follow the money.
October 17, 2013
The 2 biggest causes of fiduciary liability in 401(k)sIt all comes down to this: Follow the money.
October 16, 2013
‘Alarming’ Number of Brokers’ Arb Records Wiped Clean: StudyAn author of the study by PIABA, a legal group, says that this a "major investor protection problem."
October 14, 2013
5 SEC Exam Red Flags: Tom GiachettiEven your building's cleaning staff can pose a compliance problem, the securities attorney warns.
October 14, 2013
Bob Rodriguez Grades Obama, Calls Government ‘Chaos’ Top ThreatFirst Pacific CEO Robert Rodriguez talked with ThinkAdvisor about the debt debacle, Janet Yellen and the uselessness of regulation.