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.
Is DOL Rule on Health Plans Bad? Bloink & Byrnes Go Thumb to Thumb
By Robert Bloink and William H. ByrnesWe 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 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."
October 03, 2018
IRS Clarifies Rules on Business Meal DeductionsThe 2017 tax overhaul repealed entertainment-related deductions but didn't lay out rules for business meals.
October 02, 2018
FINRA May Kill Suitability Rule if SEC's Reg BI Finalized: Cook"If Reg BI is adopted, then we need to look at our rule set to determine if any changes are appropriate," FINRA's CEO said.
October 01, 2018
Infomercial Scammers to Pay $4.1M to SECSEC charges 10 individuals and two companies involved in allegedly fraudulent schemes using videos aimed at retirees that promise big returns.