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.
FINRA Launches Innovation Outreach Initiative
By Danielle AndrusFINRA has established an Innovation Outreach Initiative in an effort to better understand how advances in financial technology affect the industry.
June 12, 2017
IRS Offers Temporary Portability Election Crisis FixA family will have at least two years after a death to avoid having to ask for a private letter ruling.
June 12, 2017
FINRA to Release More Guidance on Bad BrokersAt Georgetown event, CEO Cook says FINRA will give firms a better understanding of expectations on identifying high-risk brokers.
June 09, 2017
Barry Ritholtz Sees DOL Fiduciary Rule as a ‘Test Run’The Ritholtz Wealth CIO tells ThinkAdvisor the rule is a step in the right direction, but says it's clearly flawed.
June 09, 2017
SEC Names Avakian, Peikin Co-Directors of Enforcement DivisionFormer federal prosecutor Peikin hails from Sullivan & Cromwell; Avakian moves out of acting director role.
June 08, 2017
3 Possible DOL Reforms That Could Help AdvisorsKBW analysts share their views on what deregulation banks and broker-dealers can expect this year and next.
June 08, 2017
Former Cetera CCO Breton Joins Triad AdvisorsBernie Breton will help Triad navigate fiduciary rule compliance.
June 08, 2017
Bill to Kill Dodd-Frank, Repeal Fiduciary Rule Passes HouseFinancial Choice Act likely DOA in Senate, Democrats say.