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.
FIO report: The hinge on insurance regulation
By Arthur D. Postal, Elizabeth D. FestaThe 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
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.
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
8 critical questions to prepare for FINRA suitability examsIf you cant answer them, one lawyer says its time to revisit your policies and procedures before FINRA does it for you.
October 11, 2013
Shutdown Plays Havoc With Federally Funded NonprofitsFor example, the federal Women, Infants and Children food program is set to start cutting off food to low-income mothers and children.