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 Blocks State Benefit Plan Payment Rules
By Allison BellA new ERISA preemption letter ruling could have implications for the fiduciary rule fight.
December 10, 2018
SEC Approves FINRA Arbitrator Honorarium ChangesFINRA will pay each arbitrator an honorarium of $200 to decide, without a hearing session, three types of cases.
December 10, 2018
Natixis, Citadel Securities, MUFG to Pay SEC More Than $6M for Blue Sheet Data ErrorsSEC uses the blue sheet data to carry out its enforcement and regulatory obligations, including investigating fraud.
December 10, 2018
Ron Carson Tells Why He's Dropping His FINRA LicenseIn an interview with ThinkAdvisor, Carson also says market volatility makes him "excited."
December 10, 2018
SEC Chair Clayton Lays Out 2019 Regulatory PrioritiesA "key priority" for the securities regulator is finalizing advice standards package, Clayton says.
December 07, 2018
Ron Carson's Registration Drop Shows 'FINRA's Days Are Numbered'"FINRA is still losing BDs," consultant Tim Welsh says. "No one is starting them. It's not happening."
December 07, 2018
FINRA Exam Report: 5 Big Problem Areas for Brokers in 2018The regulator zooms in on sales of variable annuities and volatility-linked products, among other areas.
December 07, 2018
Senators Hear Views on Proxy Voting ReformThe consensus "is that the proxy infrastructure is broken and in need of urgent attention," said IAA's Karen Barr.