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.
Brokers Willing to Pay Up for Fiduciary Standard: SIFMA
By Melanie WaddellIn a clash of studies, SIFMA put the compliance price tag at $8 million, while the Financial Planning Coalition said fiduciary accounts would be more boon than burden for brokers.
July 05, 2013
SEC nabs advisors in Georgia, MichiganA father/son advisor team has been charged in connection with a $2 million stock-trading scheme that victimized their senior clients.
July 05, 2013
SEC nabs advisors in Georgia, MichiganA father/son advisor team has been charged in connection with a $2 million stock-trading scheme that victimized their senior clients.
July 05, 2013
SEC Gets an Earful From Advisors on Fiduciary StandardComments to the SEC from individual advisorsyes, most of them RIAscall for one standardized fiduciary duty for all. Even Vanguard founder John Bogle weighed in.
July 03, 2013
Does the PPACA delay signal the end of Obamacare? Not reallyWhile PPACA's critics herald the employer mandate delay as the first step in getting rid of the law, legal experts disagree.
July 02, 2013
Prudential balks at SIFI designationThe company's decision was different than AIG and GE Capital, who accepted the designation as systemically significant.
July 02, 2013
Prudential balks at SIFI designationThe company's decision was different than AIG and GE Capital, who accepted the designation as systemically significant.
July 02, 2013
Federal rule extends subsidies for college studentsCollege students will still be eligible for federal health care subsidies I think.