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.
PIABA Names a New President
By Melanie WaddellProtecting DOL fiduciary rule and setting up an unpaid arb award pool for investors are among Andrew Stoltmann's priorities during his one-year term.
October 20, 2017
Advisor Charged With Stealing $9M From Elderly Woman’s Foundation: EnforcementMeanwhile, a Massachusetts advisor is accused of steering clients into funds in which he had an interest.
October 19, 2017
Thrivent, DOL Anti-Arb Fiduciary Tussle ContinuesLabor argues that there's no need for relief from the anti-arbitration provision because the rule will likely be delayed anyway.
October 19, 2017
7 Things to Know About IRS Private Letter RulingsSome clients have cases that defy off-the-shelf solutions.
October 18, 2017
FINRA Seeks Comments on Changes in Arbitration RulesOne amendment seeks to help further address the issue of unpaid customer arbitration awards, says FINRA's Berry
October 18, 2017
IRS Withdraws Estate, Gift Tax Valuation RegulationsThe Obama-era rules are among eight "tax burdens" that the Trump administration wants to eliminate.
October 17, 2017
Senate Panel Schedules SEC Nomination Hearing for Peirce, JacksonIf confirmed by the full Senate next week, both would enter the agency as it crafts a fiduciary rule.
October 17, 2017
SEC Charges Miner Rio Tinto, Former Execs With FraudThe firm inflated the value of coal assets acquired for $3.7 billion and sold a few years later for $50 million, the SEC says.