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.
DOL's New Fiduciary Rule Will Align With SEC Reg BI: Rutledge
By Melanie WaddellLabor's rule will align with the SEC's in order to mitigate confusion, the EBSA head said.
June 03, 2019
What BD Execs Expect From Reg BIMost of them expect challenges and confusion, according to Investment Advisor's 2019 Presidents Poll.
May 31, 2019
FINRA Seeks Comments on Corporate Bond Block Trades, Deposit AccountsThe deposit account proposal, aimed at firms with high-risk brokers, has already drawn negative feedback.
May 30, 2019
Wall Street Sees a Win in SEC Crackdown on Broker ConflictsWall Street would rather have policy set by a Trump appointee than take its chances with a future Democratic administration.
May 29, 2019
Medicare Lets Agents Market PACE Home Care PlansA PACE program provides soup-to-nuts care for people who already qualify for nursing home care.
May 29, 2019
SEC Advisor Fraud Charge Shows Hazards of 'Dual-Hat' CCOsThe dual-hat CCO "usually does not have the time, expertise or interest to do the job properly," according to Cipperman Compliance Services.
May 28, 2019
Senate Banking Sets Hearing Date for SEC NomineeThe hearing is June 5, the same day the SEC is set to vote on Regulation Best Interest.
May 28, 2019
SEC Exam Chief Warns: Don't Skimp on ComplianceMeanwhile, FINRA CEO Cook sets out his compliance concerns on SEC's Reg BI as SEC Chair Clayton justifies the upcoming rule.