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.
The Sense Behind the Noise on Regulation
By Cass R. SunsteinA Trump administration report suggests that the benefits of earlier regulations have often exceeded their costs.
February 28, 2018
FINRA's Top 5 Fine Categories in 2017While restitution ordered by the Financial Industry Regulatory Authority skyrocketed in 2017, with $66 million ordered repaid to investors — an increase…
February 28, 2018
Ameriprise Smacked With SEC Share-Class Violation FineThe firm agreed to settle charges that it recommended and sold higher-fee mutual fund shares to retirement account customers.
February 27, 2018
Why It's Time to Prep for SEC ExamsCryptocurrencies made this year's priorities list for the first time, while proper disclosure and calculation of fees to face heightened scrutiny.
February 27, 2018
ERISA Attorneys Expect DOL, SEC Fiduciary Proposals This FallPhyllis Borzi weighs in with her fears and hopes about what they'll include.
February 26, 2018
State Regulator Galvin Is Putting Teeth in DOL Fiduciary Rule"We bring legal actions, and we usually win them," William Galvin, Massachusetts' top securities regulator, tells ThinkAdvisor.
February 26, 2018
FSI Backs DOL's Association Health Plan ProposalThe independent advisor trade group could offer health insurance to members if Labor expands access to association health plans.
February 26, 2018
FSI Backs DOL’s Association Health Plan ProposalThe independent advisor trade group could offer health insurance to members if Labor expands access to association health plans.