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.
Commonwealth CEO Upbeat on DOL Fiduciary, ‘RIA-zation’
By Janet LevauxWayne Bloom and other execs highlight the growth of the firms indie advisors at a national event in San Diego.
October 11, 2017
Dealing With Rollovers Under the DOL Fiduciary RuleHere's how things could work if the rule comes back to life.
October 11, 2017
IRS Warns of New Email Scam Targeting E-Services UsersScammers are using phishing emails to try and trick tax professionals into signing a new e-Services user agreement.
October 11, 2017
FINRA Warns Investors About Fake Financial DesignationsThe alphabet soup of designations can be used to perpetrate fraud, FINRA warns.
October 10, 2017
DOL May Kill Major Group Disability Claim RegulationEBSA says it wants to give the public a new chance to comment on an Obama-era final rule.
October 10, 2017
Former F-Squared Investments CEO Convicted of FraudAs SEC proved at trial, Howard Present perpetuated F-Squareds false and misleading claims through statements and ads, SECs Steven Peikin says.
October 08, 2017
Top 3 Ways BDs Can Help FAs With DOL-Related Platform ShiftsBroker-dealers should help advisors with new technology, criteria for picking third-party asset managers and improved planning tools.
October 06, 2017
Advisor Charged in Multimillion-Dollar Options Trading Scheme: EnforcementThe SEC also obtained a $58 million judgment against the perpetrator of international pump-and-dump scheme involving Marley Coffee.