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.
DOL Pressing Forward on Fiduciary
By Melanie WaddellAccording to the Semiannual Regulatory Agenda for the Department of Labors Employee Benefits Security Administration, a reproposal to amend the definition of fiduciary under the Employee Retirement Income Security Act (ERISA) will come in October.
August 22, 2013
Would better regulations have prevented the London whale trades?Dodd-Frank turns 3 years old. How better off are we?
August 22, 2013
FINRA Fines Morgan Stanley Over Bond InfractionsFirms must ensure that customers who buy and sell securities ... receive execution prices that are consistent with prices available in the marketplace," FINRA says.
August 21, 2013
We know what is good for youPerhaps the First Lady should choose her battles more carefully.
August 20, 2013
Nonprofits Blast Church Group’s Call to Loosen Political Speech RulesThis actually contaminates our advocacy work, the head of Independent Sector said of the church commission's report calling for the change...
August 20, 2013
SEC Names Jarcho Associate Exam Director for AdvisorsShe will oversee a staff of 450 lawyers, accountants and examiners responsible for inspections of U.S.-registered advisors
August 20, 2013
Marijuana Stock Scams on the RiseNow that medical marijuana is legal in 19 states, FINRA warns investors that scammers are capitalizing on its popularity.
August 19, 2013
Hedge Fund Manager Falcone Agrees to Pay $18M to SEC, Admits WrongdoingHedge fund manager Philip Falcone and his advisory firm, Harbinger Capital Partners, settled their fraud case with the SEC on Monday...