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 Allows Fund Boards to Rely on CCO Reports
By Melanie WaddellCipperman Compliance Services wonders if the move increases CCO liability.
October 11, 2018
Is DOL Rule on Health Plans Bad? Bloink & Byrnes Go Thumb to ThumbWe asked Bloink and Byrnes, who hold opposing political viewpoints, to share their opinions on the proposed rule, which is expected to be finalized in the coming months.
October 09, 2018
Annuity Issuers Are Using This Move to Save MILLIONSFour insurers have persuaded the SEC to streamline a key index-linked product filing requirement.
October 08, 2018
FINRA Board OKs Longer Arb Response TimeThe board also approved Regulatory Notices seeking comment on expanded trade reporting and margin requirements.
October 05, 2018
SEC Fines LendingClub $4M for Fraud: EnforcementAlso, Credit Suisse will pay $10 million over its handling of retail customer orders.
October 05, 2018
FINRA Plan Would Unleash 'Rogue Brokers,' Lawyers SayProposal to free BDs from liability for advisors' outside activities is one of FINRA's worst ever, lawyer Stoltmann says.
October 04, 2018
SEC Advice Standards Package Likely by First Half of 2019: GrimGrim, a former SEC IM director, says Reg BI will have a major impact on sales incentives and IRA rollovers.
October 03, 2018
Drinker Biddle Launches Best Interest Compliance TeamMore than 20 lawyers will help advisors and BDs navigate the "stream of rules and regulations."