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.
ICOs Will Stay in SEC’s Enforcement Crosshairs
By Nicolas MorganIn short, the SEC will be looking at initial coin offerings for violations of the sort they routinely look for in other contexts.
October 05, 2017
Redtail Launches Text Messaging Solution for AdvisorsLess than 10% of advisory firms currently use texting to communicate with their clients.
October 04, 2017
SEC ‘Working on’ Fiduciary Rule, Concerned About State Laws: ClaytonSEC and DOL "can cooperate and get there, I believe" on a fiduicary rulemaking, Clayton told lawmakers. "The devil is in the details."
October 02, 2017
The Long-Awaited Fiduciary Rule DelayHurry up and get ready, slow down, stop I am truly hopeful that this will be my last DOL rule column for quite some time.
October 02, 2017
FINRA Zeros In on Bad Brokers, Arb Transparency and New EnforcementIt's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.
October 02, 2017
Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?
October 02, 2017
AIG Finds ‘Safer Harbor’ After Years of Retrenchment, RegulationThe life, annuity and property-casualty insurance player has tried to make itself a smaller, less complex company.
October 02, 2017
Why You Can’t Be ‘Three-Quarters of a Fiduciary’Former SEC Commissioner Luis Aguilars comments reverberate more loudly today, as fiduciary rules at DOL, SEC and CFP Board come into focus.