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.
The DOL Fiduciary Rule: Implementation and Level-Fee Fiduciaries
By Thomas D. GiachettiIn my last column, I addressed the DOL fiduciary rule transition period. In this column, I will address the post-transition period.
July 28, 2017
Galvin Slams SEC's Piwowar Over Anti-Fiduciary Rule CommentsGalvin is dismayed that a sitting SEC commissioner would so forcefully join with industry to attack the rule.
July 28, 2017
What's Next for Crypto Coins as SEC Tames Wild West of FinancePrices of most tokens steady as U.S. asserts jurisdiction; companies have been bypassing traditional public offerings.
July 28, 2017
Halliburton Paying $29.2 Million to Settle FCPA Violations: EnforcementThe SEC also paid awards to two whistleblowers and fined an energy executive who took investors' money to pay for psychic readings, among other expenses.
July 27, 2017
'Bad Actor' Bill Would Limit SEC Waivers for Law-Breaking FirmsRep. Maxine Waters' bill limits the regulator's ability to grant waivers to financial institutions that have broken the law.
July 27, 2017
Deutsche Bank, JPMorgan Among Firms Fined $4.75M for Market Access ViolationsThe firms violated various provisions of the SECs Market Access Rule and related exchange supervisory rules.
July 26, 2017
Wells Fargo FiNet Adds 2 Merrill Teams in California: Recruiting RoundupAs the bank's recent data leak grabs headlines, Dynasty Financial brings on one of its former reps and staff.
July 26, 2017
FINRA Names Schroeder New Enforcement Head, Plans New UnitThe unit will ensure a "uniform approach to charging and sanctions" and help FINRA "better target developing issues."