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: Broker Broke Into Former Firm's Office for Files
By Jeff BermanThe rep has not updated his Form U4 to disclose a related criminal charge, FINRA says.
June 30, 2020
FINRA Elects Murray as Board ChairEileen Murray, former co-CEO of Bridgewater Associates, has held senior posts at Morgan Stanley and other firms.
June 30, 2020
7 Things to Know About the New DOL Annuity Sales Standard ProposalThe proposed standard could turn IMOs, FMOs and BGAs into the Impartial Conduct Standards cops.
June 30, 2020
Hopkins, Kitces: As SEC's Reg BI Goes Live, Worries RemainCarson Group's Jamie Hopkins voices his concerns on Reg BI and the DOL proposal intended to align with it.
June 29, 2020
DOL Floats Revised Fiduciary Rule to Align With Reg BIThe department proposed an exemption to allow retirement advisors to receive a wider variety of payments.
June 29, 2020
Hightower Expects 'Material Revision' to $1.2M Set Aside for 529 Plan OverchargesThe firm said it would participate in FINRA's 529 Plan Share Class Initiative.
June 26, 2020
SEC Prevails Over XYPN in Reg BI Suit"We are incredibly disappointed that the courts have ... allowed Regulation Best Interest to stand," said Michael Kitces of XY Planning Network.
June 26, 2020
Human Capital: Phyllis Borzi Concerned About Fiduciary Rule, Reg BI AlignmentIn this episode, we talk with the former assistant secretary of the Labor Department's EBSA during the Obama administration.