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 Releases FINRA360 Progress Report
By Melanie WaddellFINRA CEO Robert Cook talks to ThinkAdvisor about how the sweeping regulatory initiative is coming along.
April 20, 2018
The SEC Just Did Brokers a Huge FavorProposed standards, stopping short of a fiduciary rule, let them keep charging fees.
April 20, 2018
April 30 Deadline Looms for DOL Fiduciary AppealERISA attorneys discuss whether Labor will appeal and say the SEC's broker conduct proposal seems "rushed."
April 20, 2018
House Passes Bills to Revamp IRSHouse Ways and Means Chair Brady lauds a "monumental step," hoping for Senate passage.
April 20, 2018
SEC Charges Advisor in $1.4 Million Fraud Scheme: EnforcementIn other enforcement actions, LPL faces a FINRA fine and the SEC charges a businessman for stealing from a pension plan.
April 19, 2018
SEC Broker Conduct Plan Is Not a Fiduciary StandardAdvocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.
April 18, 2018
New SEC Proposal Should Even Out Your Best Interest Playing Field: ACLIThe life insurer group's president says the same best interest standards should apply to all sales professionals.
April 18, 2018
SEC OKs Best-Interest Proposal for BrokersThe proposal will go out for a 90-day comment period; Commissioner Kara Stein dissented.