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.
SIFMA Sees SEC Fiduciary Rule Proposal Within 18 Months
By Bernice NapachThe lobbying group takes SEC Chairman Jay Clayton "at his word" that the rule is a top priority, CEO Ken Bentsen says.
December 08, 2017
FINRA Seeks to Revamp Expungement ProcessFINRA said that it's discussing with NASAA "more extensive changes" to the process.
December 08, 2017
Aguilar, TD’s Schweiss Discuss How an SEC Fiduciary Rule Could WorkThe two industry insiders talked to ThinkAdvisor about how a rule could move forward but said proposing one next year would be "tricky."
December 07, 2017
SEC Charges 2 More Brokers for Unsuitable Trades: EnforcementSEC says it's intensifying its focus on "unscrupulous brokers and their harmful practices."
December 06, 2017
FINRA Releases First Exam Findings ReportHere are the top four problem areas FINRA considers worth highlighting.
December 05, 2017
Perkins Coie Hires Former SEC Fintech Examiner DidiukDidiuk joins Perkins Coies Investment Management, Fintech and Blockchain teams.
December 04, 2017
Level Fee Trend Survives Fiduciary Rule DelaysThe DOL fiduciary rule has created a big shift that is most prominent among advisors who provide retirement-related advice for major financial firms.
December 01, 2017
SIFMA, Others to Regulators: No New Cybersecurity Rules Needed(T)he volume of regulations ... are sometimes overlapping, duplicative and conflicting, says SIFMA President and CEO Kenneth Bentsen.