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.
‘Spongebuddy’ Investors Got Scrubbed: Enforcement
By Emily ZulzIn another enforcement action, an advisor is charged for an investment scheme involving seniors.
November 29, 2017
FINRA Warns BDs of Impending AML Rule Compliance DeadlineThe regulator reminds BDs of the upcoming May compliance deadline for Anti-Money Laundering Compliance Program Rule 3310.
November 28, 2017
IRS’ 7 Cybersecurity Tips to Keep Holidays From Ruining Tax SeasonNational Tax Security Awareness Week is a good time to have clients conduct a personal security audit.
November 28, 2017
Ron Rhoades Sees Grim Fiduciary Rule FutureRhoades, a fiduciary rule proponent, doubts the full rule will go into effect during the Trump administration.
November 27, 2017
Beware: The Bully LivesMuch to my chagrin, the SEC recently has demonstrated an increasingly aggressive posture during regulatory examinations.
November 27, 2017
‘Full Speed Ahead’ With DOL Fiduciary Compliance Despite DelayWith the OMB's approval of the Labor Department's 18-month fiduciary rule delay having most assuredly kicked in (approval was anticipated within a week or two at press time in early November), should advisors put the brakes on compliance?
November 27, 2017
Searchable Bad Broker Database ‘Long Overdue’ But Will Face ScrutinyThe head of PIABA says the database is only a Band-Aid for a really serious problem.
November 24, 2017
Feds Officially Delay Obama-Era Group Disability Regs, a LittleTrump's EBSA will postpone the effective date for 90 days, and only for 90 days.