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.
FINRA Fines Merrill, Credit Suisse
By Janet LevauxThe Financial Industry Regulatory Authority said recently that it fined Credit Suisse Securities (USA) LLC $4.5 million and Bank of America’s Merrill…
July 01, 2011
Fiduciary MattersThe prospect of a uniform fiduciary standard that would apply to all advice givers in the financial field is the subject of much current debate among…
July 01, 2011
From FINRA Case, a Cautionary Tale on Immediate Annuities—Compliance WatchA FINRA arbitration panel recently decided in favor of a broker against his former BD in a dispute over a U4 involving an examination over advertisements for a fixed annuity product.
June 30, 2011
GAO: IRS Behind on PPACAThe U.S. Government Accountability Office says Internal Revenue Service top managers must do more to ensure smooth implementation of the Patient Protection and Affordable Care Act.
June 30, 2011
Madoff Scandal Changes FINRA Exam ProcessThe Financial Industry Regulatory Authority is responding to the criticism prompted by the Bernard Madoff scandal by intensifying its exam process.
June 30, 2011
GAO: IRS Behind on PPACAThe U.S. Government Accountability Office says Internal Revenue Service top managers must do more to ensure smooth implementation of the Patient Protection and Affordable Care Act.
June 30, 2011
Dodd-Frank: SEC Proposes More Swaps RegsThe U.S. Securities and Exchange Commission is promising to work with the U.S. Labor Department to address the possibility that proposed regulations could hurt pension plan operations.
June 30, 2011
Madoff Scandal Changes FINRA Exam ProcessThe Financial Industry Regulatory Authority is responding to the criticism prompted by the Bernard Madoff scandal by intensifying its exam process.