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.
Even FCC thinks in-flight gadget bans are dumb
By Staff WriterMany of us have suspected it all along: The bans against using technical devices during take-off and landing don't have a lot of data to back them up.
December 10, 2012
Borzi: DOL to offer new version of fiduciary rule in "several months"The Department of Labor plans to repropose its controversial rule to amend the definition of fiduciary under ERISA in several months, Phyllis Borzi said on Friday.
December 10, 2012
FINRA Reaches for Feedback on Broker Comp Disclosure RuleFINRAs board announced Friday that it would seek comment on its controversial plan to require brokers to disclose their compensation packages to clients.
December 07, 2012
Federal court lets N.Y. benefits case move forwardA judge says proposed birth control benefits regulations are already hurting the plaintiffs.
December 07, 2012
Borzi: DOL to Offer New Version of Fiduciary Rule in ‘Several Months’The DOL plans to repropose its controversial rule to amend the definition of fiduciary under ERISA in several months, Phyllis Borzi the DOLs EBSA, told AdvisorOne on Friday.
December 07, 2012
Stadion Offers TDFs With ERISA 3(38) ProtectionStadion Money Management, an asset manager based in Watkinsville, Ga., announced Tuesday that it is offering ERISA 3(38) fiduciary management on its target-date funds.
December 07, 2012
SEC, FINRA Enforcement Roundup: Insider Trading Ring Busted; Raymond James HitAmong recent actions taken by the SEC and FINRA were the breakup of an insider trading ring; Raymond James getting fined and censured; and proceedings over securities law violations by the Big Four accounting firms' China affiliates.
December 06, 2012
CFA’s Roper Calls Claim She Bullied Schapiro ‘Absurd’A Wall Street Journal editorial says because SEC's Schapiro was quaking in fear of Roper, she killed a Commission rule to lift ban on hedge fund, other private placement advertising.