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 May Kill Major Group Disability Claim Regulation
By Allison BellEBSA says it wants to give the public a new chance to comment on an Obama-era final rule.
October 06, 2017
Advisor Charged in Multimillion-Dollar Options Trading Scheme: EnforcementThe SEC also obtained a $58 million judgment against the perpetrator of international pump-and-dump scheme involving Marley Coffee.
October 06, 2017
ICOs Will Stay in SEC’s Enforcement CrosshairsIn short, the SEC will be looking at initial coin offerings for violations of the sort they routinely look for in other contexts.
October 06, 2017
FINRA Plans BrokerCheck Changes, Remote ExamsThe regulator also set Oct. 1, 2018, as the effective date for its streamlined competency exams.
October 05, 2017
Brokers Violating DOL Rule by Shifting Clients to Fee Accounts: RoperConsumer Federation of America urges regulators to investigate if firms are found to be exploiting the DOL rule to profit unfairly at their customers expense.
October 05, 2017
Redtail Launches Text Messaging Solution for AdvisorsLess than 10% of advisory firms currently use texting to communicate with their clients.
October 04, 2017
SEC ‘Working on’ Fiduciary Rule, Concerned About State Laws: ClaytonSEC and DOL "can cooperate and get there, I believe" on a fiduicary rulemaking, Clayton told lawmakers. "The devil is in the details."
October 02, 2017
The Long-Awaited Fiduciary Rule DelayHurry up and get ready, slow down, stop I am truly hopeful that this will be my last DOL rule column for quite some time.