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.
What 8 Industry Leaders Think of SEC's Advice Standards
By Melanie WaddellHere's what Michael Kitces, Barbara Roper, Ken Fisher and others commented to the SEC about the proposal.
August 06, 2018
Life Group Hopes SEC Will Bless Non-Cash CompThe ACLI is speaking up for plaques, training and marketing support.
August 06, 2018
Select Military Spouses to Receive Designation to Conduct Financial Counseling: FINRAThe FINRA Foundation Military Spouse Fellowship program participants will undergo rigorous training and gain hands-on experience — at no cost.
August 06, 2018
IRS Ruling Could Saddle Multinational Life Insurers With Big Tax BillsIn theory, the change could increase life insurers' 2018 federal income tax spending by 25%.
August 03, 2018
Worried About Broker Conflicts? The SEC Isn'tThe SEC's proposed conflict-of-interest rules don't give investors the protection they need.
August 03, 2018
SEC Charges Ex-Rep With Using Investor Funds for Private Jets, Plastic Surgery: EnforcementMeanwhile, the SEC fined a scientist for insider trading.
August 02, 2018
SEC Reg BI Stricter Than Fiduciary, Will Cause Brokers to Flee: PeirceThe push for fiduciary standards for all "will have the perverse effect of harming investors," Commissioner Hester Peirce says.
August 02, 2018
SEC's New Crypto Czar Wants Coin Industry to Step Out of ShadowsValerie Szczepanick tries to get firms to talk to regulators; a key challenge is Bitcoin enthusiasts' distrust of government.