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.
Fiduciary standard bill passed by House panel
By Arthur D. PostalThe bill would create obstacles for establishing the uniform fiduciary standard, though enactment is considered unlikely.
June 18, 2013
Bill would force DOL to let SEC fire first on fiduciaryThe Retail Investor Protection Act is a significantly revised version of Rep. Wagners first discussion draft.
June 18, 2013
California exchange clears fingerprinting hurdleA federal repository asked managers to show they had statutory authority
June 18, 2013
California exchange clears fingerprinting hurdleA federal repository asked managers to show they had statutory authority
June 18, 2013
SEC, FINRA, state exam execs lay out prioritiesPriorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
June 17, 2013
IRS scandals threaten funding for PPACAIf the agency does get the requested bump in budget, the big question is this: How will they spend it?
June 17, 2013
IRS scandals threaten funding for PPACAIf the agency does get the requested bump in budget, the big question is this: How will they spend it?
June 17, 2013
Bill Would Force DOL to Let SEC Fire First on FiduciaryThe House Financial Services Committee plans to mark up a bill introduced Wednesday that would require the DOL to wait 60 days to publish its fiduciary rule after the SEC has released its own measure.