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.
DOL Fiduciary Rule Vacated. Now What?
By Melanie WaddellIndustry officials are busy surmising what the 5th Circuit ruling means for the fiduciary rule's fate and for an SEC fiduciary rule.
March 30, 2018
IRS' Dirty Dozen: 12 Tax Scams to Avoid — 2018Don't let your clients get taken for an expensive ride this tax season.
March 30, 2018
Sweeping Federal Disability Claim Regulations Take Effect SundayA benefits law specialist says the new regs will affect any plan with a disability determination trigger.
March 30, 2018
Former Funding Portal DreamFunded Still in FINRA's CrosshairsThe ex-CEO's attorney said he was ill and couldn't produce documents, but his social media posts suggest otherwise.
March 30, 2018
Former F-Squared CEO to Pay $13M for Misleading Investors: EnforcementIn other enforcement actions. Robert Murray was sentenced to two years imprisonment in connection with Fitbit manipulation scheme.
March 29, 2018
CFP Board May Revise New Fiduciary Standard if SEC Sets Higher One: KellerCFP Board CEO Kevin Keller said the Board's new fiduciary standards 'can serve as a reference' for the SEC's fiduciary rulemaking.
March 29, 2018
Women Still Trail Men in Financial Knowledge: FINRAThe gap in financial literacy between boomer and Gen X men and women has not changed, but for millennials, that gap is narrowing.
March 28, 2018
Broker-Dealer Admits It Failed to File Suspicious Activity ReportsThe SEC says Aegis Capital failed to meet its AML obligations to report suspicious activity.