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.
DOL’s (Possible) Loss Could Be Your Gain
By Bob ClarkMany advisors are lamenting attempts to dismantle Labors new fiduciary rule. Bob Clark has a different take.
May 29, 2017
Wirehouses Keep Tweaking Plans, Policies Ahead of DOL DeadlineAfter discussing the possibility that advisors could keep commissions in some retirement accounts, Merrill Lynch has given its roughly 14,500 advisors more details.
May 29, 2017
As Indie BDs Dwindle, Is FINRA Outdated?Brad Bennett, former head of FINRA enforcement, said that some brokers are becoming investment advisors to minimize their regulatory burden.
May 26, 2017
DOL Looking for Reason to Delay Full Fiduciary Compliance Date: LawyerThe department says it will issue a Request for Information; the findings could give it cover to delay past Jan. 1, lawyer Erin Sweeney says.
May 26, 2017
SEC Charges Government Insider in Illicit Trading Scheme: EnforcementThe SEC also charged a man who manipulated the price of Fitbit stock by making a phony regulatory filing.
May 26, 2017
DOL Fiduciary Deadline Is Coming. Here’s a Compliance ChecklistCompliance firms and attorneys are busy giving advisors, BDs and plan sponsors a to-do list as the June 9 compliance date nears.
May 25, 2017
A Step Backward in Financial RegulationThe Financial Choice Act will make the financial system less safe, and it won't eliminate bailouts in a future crisis.
May 25, 2017
The Fixed-Index Annuity Industry Won Battles Only To Lose the WarA financial consultant looks at the ties that bind you.