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.
New DOL Fiduciary Rule Creating 'Regulatory Whiplash': Attorneys
By Melanie Waddell"There is much to be concerned about" in a recent FAQ from the department, Eversheds Sutherland lawyers warn.
April 26, 2021
Why Family Offices Are in SEC's CrosshairsIndustry officials weigh in on the Archegos meltdown, along with a review of a family office rule that's already on the regulatory agenda.
April 23, 2021
Human Capital: Ed Slott on Why Raising RMD Age Is 'Useless'Slott also zeros in on how rollover advice is a central aspect of DOL and SEC best-interest rules.
April 23, 2021
In Wake of Archegos Blowup, Will SEC Overstep?The SEC may try to compel more disclosure in ways that exceed its authority.
April 23, 2021
FINRA Warns BDs on Arbitration AgreementsSome firms are attempting to improperly limit the claims that customers can file with FINRA.
April 22, 2021
Alex Oh Named SEC Enforcement ChiefShe "has the expertise as a highly respected lawyer to ensure that the SEC protects investors," SEC Chairman Gary Gensler said.
April 21, 2021
Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's PeirceThe SEC commissioner discusses what advisors can expect from exams in terms of Reg BI compliance.
April 20, 2021
FINRA Suspends Broker Named as Client TrusteeThe broker, now at Waddell & Reed, violated Cetera's broker-as-beneficiary rules, FINRA says.