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's Top 5 Fine Categories in 2017
By Melanie WaddellWhile restitution ordered by the Financial Industry Regulatory Authority skyrocketed in 2017, with $66 million ordered repaid to investors — an increase…
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.
February 26, 2018
SEC Shares Road Map on Cryptocurrency ETFsThe agency lays out its thinking in a No Action Letter Refusal of Assurance.
February 25, 2018
SEC Exam Team Targeting Broker 'Recidivism'Advisor exam rate is up 20% so far in 2018 vs. last year as share classes, ETFs, robo-advice and fees in agency's crosshairs.
February 23, 2018
IRS Blesses 2017 Mortality TablesRevenue Procedure 2018-10 opens a 2010 safe harbor to any standard table that extends past age 100