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.
Feds move to close congressional benefits gap
By Allison BellOPM would define the term health benefits plan to include exchange contributions.
August 07, 2013
Senate Democrats seek delay in DOL fiduciary rulingTen Senate Democrats push for a delay in the Department of Labor's fiduciary ruling until after the SEC decides to hand down its own version.
August 06, 2013
How will exchanges check your income?In 2014, market managers will use IRS, Social Security and Equifax data, CCIIO officials say.
August 06, 2013
How will exchanges check your income?In 2014, market managers will use IRS, Social Security and Equifax data, CCIIO officials say.
August 06, 2013
SEC, DOJ Sue BofA Over Mortgage-Backed SecuritiesThe two lawsuits entail about $850 million of RMBS sales in 2008 that led to losses of some $120 million, regulators estimate.
August 06, 2013
DOL, SEC Fiduciary Rules May Clash, Senators Tell OMBTen Democratic senators urged the OMB to carefully review DOLs fiduciary reproposal to ensure that it doesnt directly conflict with the SECs fiduciary rule.
August 06, 2013
FINRA Alert: Brokerage Imposters Do It Old-Fashioned WayStep aside, Internet schemers, the newest imposters on the block are phony phone callers from fake brokerage firms.
August 06, 2013
UBS to Pay SEC $50M for Misrepresenting CDOThe SEC said that the head of the U.S. CDO group at UBS stated, Lets see how much money we can draw out of the deal.