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.
FINRA Issues Guidance, Seeks Comment on High-Risk Brokers
By Melanie WaddellThe regulator highlights instances when heightened supervision of brokers may be needed.
April 30, 2018
2018 IA 25 Politics, Regulation & Compliance WinnersHere are 2018 IA 25 top vote getters in field of politics/regulators/compliance.
April 29, 2018
How Can the Wealth Business Win the Fiduciary War?Today's retail investors are very different from who they were just 10 years ago, and the industry should treat them accordingly.
April 27, 2018
Advisor Sent to Prison for Scamming Seniors: EnforcementThe SEC also announced additional fraud charges in an initial coin offering that was touted by the boxer Floyd Mayweather.
April 27, 2018
Clayton: SEC Broker Conduct Rule Embodies 'Core Fiduciary Principles''We've sought to harmonize the actual duties that are owed' by brokers and investment advisors, Clayton tells lawmakers.
April 26, 2018
DOL Involved in Wells Fargo Wealth Investigation: ReportWhile the bank disclosed the review of retirement-plan issues in a regulatory filing, it did not name the specific agencies involved.
April 26, 2018
IRS Postpones Life Settlement Tax Reporting RequirementThe IRS says it still has to write Section 6050Y rules, and give players time to comply with the rules.
April 26, 2018
SEC's Peirce: Are Equity Market Structure Rules Outdated?Commissioner Hester Peirce asks if the '75 Amendments continue to be warranted in the 'very different markets that have developed over the intervening 43 years.'