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 Fines Oppenheimer & Co., Trader for Overcharging on Muni Trades
By Melanie WaddellOppenheimer, through its head trader, charged excessive markups on 89 transactions, FINRA says.
December 06, 2013
Gov't signals renewed oversight of MEWAsMore stringent rules included in the PPACA were specifically designed to tighten oversight of multiple employer welfare arrangements.
December 06, 2013
Bogle Hailed as Warrior for the Common InvestorMichael Zeuner and Jim Patrick of Institute for the Fiduciary Standard remain optimistic, tying John Bogle's "investor first" approach to the fiduciary standard.
December 06, 2013
SEC, FINRA Enforcement: UBS, Merrill Fined for Disclosure FailuresMeanwhile, FINRA slapped J.P. Turner for unsuitable ETF sales, and the SEC charged a Miami trader with shorting a Chinese company ahead of its offering.
December 05, 2013
DOL to Be First Mover on Fiduciary, Industry Watchers SayDOLs rule will be a stronger rule, and it will bolster the SECs rule, an AARP lobbyist told ThinkAdvisor.
December 04, 2013
Experts worry about IRS pitfallsWhat if Mr. Doe owns a farm, Mrs. Doe owns an accounting firm, and documents are a little tangled?
December 04, 2013
Yellen striving for balance in insurance oversightThe comfortable ride that Janet Yellen received through the Senate confirmation process as chairman of the Fed board should send a large signal to the insurance industry.
December 04, 2013
Yellen striving for balance in insurance oversightThe comfortable ride that Janet Yellen received through the Senate confirmation process as chairman of the Fed board should send a large signal to the insurance industry.