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.
MetLife completes sale to GE Capital
By Arthur D. PostalMetLife started the selling process after the Fed believed the insurer was inadequately capitalized following a stress test.
January 11, 2013
Local regs key reason for severing client relationshipsManagers in the financial services sector say they would end client relationships over local regulatory requirements and their global consequences.
January 11, 2013
FINRA-Ordered Restitution Saw Big Jump in 2012The jump, to $34 million in 2012 from $19.4 million in 2011, was one highlight of FINRA's recently released annual review.
January 11, 2013
Top 7 Biggest Bank FinesAdvisorOne finds that all of the biggest bank penalties have been levied in the last 10 years, with most of them since the financial crisis started in 2008.
January 10, 2013
SEC, FINRA Enforcement Roundup: Shareholder Suit Against UBS ReinstatedIn recent enforcement news, an appeals court reinstated a suit against UBS subsidiaries by two Puerto Rico-based pension funds over a $757 million bond purchase.
January 10, 2013
FINRA Issues Crowdfunding Portal FormFINRA issued on Thursday a voluntary Interim Form for Funding Portals designed for prospective crowdfunding portals under the JOBS Act.
January 10, 2013
How exactly might play-or-pay work?Employers get a loose definition of "all," and a surprising definition of "dependent," an analyst says.
January 10, 2013
How exactly might play-or-pay work?Employers get a loose definition of "all," and a surprising definition of "dependent," an analyst says.