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.
Schwab Dodges FINRA Action on Arbitration Waivers
By Melanie WaddellA FINRA disciplinary panel on Thursday upheld Charles Schwabs decision to include a class-action waiver in its customer arbitration agreements.
February 21, 2013
DOL Fines Sherwin-Williams $80M for Tax ViolationsThe agreement comes after the departments EBSA investigated whether Sherwin-Williams, seeking to take advantage of tax breaks, improperly managed the plan.
February 19, 2013
Calls for Crowdfunding Rules Grow LouderCrowdfunding advocates, small businesses and venture capitalists held an all-day vigil in Washington Tuesday to push for action on crowdfunding rules.
February 19, 2013
FINRA fines ING firms $1.2M for poor email practicesThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 19, 2013
FINRA fines ING firms $1.2M for poor email practicesThe FINRA enforcement alleges broad, systemic failures by ING firms to properly retain and review email correspondence.
February 19, 2013
FINRA Fines Five ING Affiliates $1.2M for Email ViolationsFINRA announced Tuesday that it had fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.
February 15, 2013
MetLife says it’s no longer bank holding companyThe company said it received approval for the status change from the FDIC and Fed.
February 14, 2013
Fiduciary rulemaking under ‘serious consideration’The SEC chairwoman told the Senate Banking Committee Thursday that the SEC is giving serious consideration to its rule to put brokers under a fiduciary.