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 finds violations in broker's YouTube video
By Elizabeth D. FestaFINRA suspended the registered representative in all capacities for 20 business days and fined him $10,000.
August 07, 2013
Feds move to close congressional benefits gapOPM would define the term health benefits plan to include exchange contributions.
August 07, 2013
Feds move to close congressional benefits gapOPM would define the term health benefits plan to include exchange contributions.
August 07, 2013
Senate Democrats seek delay in DOL fiduciary rulingTen Senate Democrats push for a delay in the Department of Labor's fiduciary ruling until after the SEC decides to hand down its own version.
August 07, 2013
Senate Democrats seek delay in DOL fiduciary rulingTen Senate Democrats push for a delay in the Department of Labor's fiduciary ruling until after the SEC decides to hand down its own version.
August 06, 2013
How will exchanges check your income?In 2014, market managers will use IRS, Social Security and Equifax data, CCIIO officials say.
August 06, 2013
How will exchanges check your income?In 2014, market managers will use IRS, Social Security and Equifax data, CCIIO officials say.
August 06, 2013
SEC, DOJ Sue BofA Over Mortgage-Backed SecuritiesThe two lawsuits entail about $850 million of RMBS sales in 2008 that led to losses of some $120 million, regulators estimate.