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.
Walking the Walk
By Bob ClarkFormer "lobbyist-lite" Knut Rostad tells fiduciary advisors how to stand out.
August 25, 2017
Yellen Defends Financial Regs That Trump OpposesHer speech at Jackson Hole seemed directed at Trump, who will decide whether to reappoint or replace her.
August 25, 2017
SEC Says Broker Stole From Clients to Pay Mortgage, Credit Cards: EnforcementMeanwhile, a hedge fund manager agreed to pay $4.6 million for failing to enforce policies that prevent insider trading.
August 25, 2017
Latest DOL Fiduciary Fight Zeros In on Advice vs. SalesThe Labor Department and the nine plaintiffs suing over the fiduciary rule are at odds over whether Labor has the authority to regulate sales.
August 22, 2017
JPMorgan Chase's Cutler Named FINRA Large Firm Board GovernorCambridge's Amy Webber was appointed as the independent dealer/insurance affiliate governor.
August 22, 2017
Advisor Lied to Pro Athlete About ‘VIP’ Fees: SECThe advisor told the athlete and his wife that they were paying a special rate but charged them $1.2 million more than represented, SEC says.
August 22, 2017
Thrivent Fights DOL Fiduciary Rule’s Anti-Arb ClauseThe DOL's statement that it won't enforce the anti-arbitration rules under BICE doesn't address Thrivent's concerns, the insurer's lawyer says.
August 21, 2017
FINRA Nominates Large, Small Firm Members for Disciplinary PanelSEC also approved amendments to FINRA customer and industry arbitration rules.