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.
SEC, DOL Enforcement: Cohen’s SAC Capital Faces Criminal Charges
By Marlene Y. SatterThe SAC Capital insider trading scandal featured in enforcement actions this week, along with SEC charges against the City of Miami and a DOL settlement with the trustee of a defunct garment companys pension plan.
July 25, 2013
AICPA attacks DOL fiduciary plan’s ESOP languageAICPA urges lawmakers to support bills that would ensure independent appraisers of ESOP are not designated as fiduciaries.
July 25, 2013
AICPA Attacks DOL Fiduciary Plan’s ESOP LanguageAICPA urges lawmakers to support bills that would ensure independent appraisers of ESOP are not designated as fiduciaries.
July 25, 2013
SIFI impact to be ongoingPotential SIFI designations and a dual regulatory environment are looming.
July 25, 2013
SIFI impact to be ongoingPotential SIFI designations and a dual regulatory environment are looming.
July 24, 2013
DOL 408(b)2 Fee Disclosure ‘Guide’ Lands at OMBERISA guru Fred Reish says proposed reg could spell more expense for retirement plan service providers.
July 24, 2013
Advisors prepare to water down DOL fiduciary ruleThe coming months will be crucial as investment advisors work to shape the regulation to their liking.
July 24, 2013
Advisors prepare to water down DOL fiduciary ruleThe coming months will be crucial as investment advisors work to shape the regulation to their liking.