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.
Exam Update: Are You Ready for the SEC?
By Thomas D. GiachettiI have just finished two weeks of traveling the country speaking to advisors. The topic: Where have regulators focused during recent exams?
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.
October 24, 2013
SEC, DOL Enforcement: Diebold, Stryker Busted for Bribing Foreign OfficialsDiebold, manufacturer of voting machines and ATMs, to pay $48 million penalty; DOL recovers more than $4 million over ESOP scam.
October 24, 2013
Warning to RIAs: Don’t Let Your Privacy Policy Stay PrivateYouve got to file a privacy notice, regardless of your firms size. Should you use the model forms graciously provided by the SEC? That depends.
October 23, 2013
SEC Crackdown Nabs 3 Advisors for Shoddy Compliance ProgramsSanctions came a day after SEC chief Mary Jo White said that the agency was going after advisors who ignored repeated warnings.