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.
SEC's In-House Judge System Denies Access to Juries
By Nicolas MorganA Supreme Court ruling changed the way ALJs are appointed, but the fairness of the system itself has gone unaddressed.
June 11, 2019
10 Key Regulation Best Interest Points, for AgentsStandardized compensation disclosures would be OK. Some sales-based incentives would be OK.
June 11, 2019
The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards PackageThe rules have been approved. What now? Raymond James analyst Ed Mills and others weigh in.
June 11, 2019
SEC Releases Updated List of Fake Firms, Bogus RegulatorsThe updated list includes 11 firms, four fake versions of real firms and nine fictitious regulators.
June 06, 2019
Life and Annuity Groups Give SEC's Final Best-Interest Standard Mixed ReviewsThe ACLI and NAIFA are praising Reg BI. AALU has concerns. IRI is reading.
June 05, 2019
Cheers, Jeers for SEC's New Advice-Standards RulesSIFMA said compliance would be difficult but worthwhile; Democratic lawmakers blasted the rules as inadequate.
June 05, 2019
SEC Passes Regulation Best Interest by 3-1 VoteReg BI, Clayton said, "will substantially enhance the broker-dealer standard of conduct beyond existing suitability obligations."
June 04, 2019
Will Reg BI Be Hammered by Lawsuits?Consumer advocate Barbara Roper thinks the rule "will have a very short shelf life."