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.
Goldman Sachs Video Highlights Suitability Standard
By Kate McBrideThe Committee for the Fiduciary Standard releases video and praises Senate vote for reform and releases analysis of the reform bill's fiduciary study provision.
July 16, 2010
FINRA to Expand BrokerCheck ServiceStarting in August, the FINRA will begin to implement changes to its free, online BrokerCheck service that will significantly expand the amount of publicly available information about current and former securities brokers.
July 16, 2010
Goldman Sachs Settles SEC Fraud Suit for $550 MillionGoldman Sachs settled fraud charges brought in April by the Securities and Exchange Commission in connection with a collateralized debt obligation (CDO), the SEC announced Thursday, July 15.
July 16, 2010
New 401(k) Fee and Conflict Disclosure Rule Issued by Labor Dept.The U.S. Department of Labor (DOL) issued an interim final rule on disclosure of fees and conflicts of interest affecting 401(k) and other retirement plans on Thursday, July 15.
July 15, 2010
Labor Posts Plan Disclosure RegsThe Employee Benefits Security Administration has added a disclosure error correction provision to new retirement plan fee disclosure regulations.
July 15, 2010
In Financial Reform Bill, Marketplace Winners and LosersEarly market reaction to the financial services reform bill, which the Senate passed, 60-39, on Thursday, July 15.
July 15, 2010
Senate Passes Landmark Financial Services Reform BillThe Senate passed Thursday, July 15, the massive 2,300-page financial services reform bill; the bill now goes to President Obama for his signature, which is expected in the coming days.
July 15, 2010
Labor Posts Plan Disclosure RegsThe Employee Benefits Security Administration has added a disclosure error correction provision to new retirement plan fee disclosure regulations.