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.
IRS: Watch Out for 'Tax-Savvy' Phishing Scams Ahead of Oct. 15
By Janet LevauxCybercriminals send emails about "software updates" to try and get info on taxpayers and commit fraud.
August 08, 2017
DOL May Announce Fiduciary Rule Delay This Month, Attorneys SayLabor "needs to address the delay immediately" to reduce uncertainty in the industry, says Steve Saxon of Groom Law Group.
August 07, 2017
Lawyer Tells What Really Goes On in FINRA ArbitrationKevin Galbraith tells ThinkAdvisor about online dating fraud, broker bonus disputes, Form U5 woes and other matters he brings before the FINRA panel.
August 04, 2017
Skip Schweiss: The Real Reason the Industry Is Fighting the DOL Fiduciary RuleMost objection to the rule centers around one provision, TD Ameritrade Institutional's Skip Schweiss tells ThinkAdvisor, and that could shape any revisions by DOL.
August 04, 2017
Pharma Founder Bilked Investors to Fund Restaurant Business, SEC Says: EnforcementThe PCAOB announced a $1 million settlement with PwC for violations in its audit of Merrill Lynchs compliance.
August 03, 2017
SEC Ditches Plan for Third-Party Advisor AuditsAlso dropped from the agency's regulatory agenda: stress tests for larger advisors and target date fund disclosure updates.
August 03, 2017
A Look Inside LPL’s DOL Fiduciary StrategyWhether the rule is enforced Jan. 1 or not, the IBD will go forward with its new compliance tools, LPL's Bill Morrissey told ThinkAdvisor.
August 01, 2017
SIPC, FINRA to Offer Simpler BD Filing ProcessStarting Sept. 1, firms that currently file annual reports separately with SIPC and FINRA will file just once.