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.
Attorney, Accountant Charged in Advisor's $9M Theft From Charity Client: Enforcement
By Emily ZulzIn other enforcement news, the SEC bars and fines the former head of ConvergEx Group's transition management business.
January 03, 2018
The 2018 Regulatory Texas Two-StepFirms must keep up with changes to Form ADV and Form N-PORT for mutual funds, legal and compliance specialists say.
January 02, 2018
Regulatory Wrangling: The Year AheadDOL fiduciary rule, having proper cybersecurity controls and adjusting to an updated exam program are some compliance chores facing the industry.
January 02, 2018
New Frontiers for Advisor Regulation, HiringWe all know these are tough times for advisors akin to the Wild West when it comes to keeping up with new rules and ever-changing regulations.
January 02, 2018
3 New Substance Use Confidentiality Rule FactsAn agency is letting health insurers and their subcontractors in but shutting care coordinators out.
December 29, 2017
A Top UBS Advisor Looks Ahead to 2018Barron's top advisor Jonathan Murray and UBS senior lobbyist John Savercool talk to ThinkAdvisor about post-tax reform investment opportunities and the regulatory landscape.
December 29, 2017
Advisors Beware: More Fintech Regs, Enforcement Coming in 2018Attorneys say blockchain, cryptocurrency and robo-advising are among the sectors to watch.
December 28, 2017
IRS Advice on Property Tax Prepayment Causes Widespread ConfusionGiven the confusion, should taxpayers in high-tax states prepay their local property taxes? Here are three points to consider, according to tax experts.