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.
Trump Budget Cuts SEC’s Tech Funding
By Melanie WaddellTrump budget seeks to abolish agency's Reserve Fund, which was created by Dodd-Frank.
May 23, 2017
FINRA Elects Piper Jaffray’s Duff as Large-Firm GovernorDuff's "deep experience working with institutional and individual investors will be an invaluable asset to our deliberations, said FINRA CEO Cook.
May 22, 2017
DOL Won’t Delay June 9 Fiduciary Rule Compliance Date: AcostaDOL has "found no principled legal basis to change the June 9 date while we seek public input," Labor Secretary R. Alexander Acosta said.
May 22, 2017
Courts Will Not View DOL Fiduciary Rule Repeal Favorably: BorziFurther delay will create uncertainty that will be really problematic, the rule's architect, Phyllis Borzi, said at the fi360 conference.
May 19, 2017
Betterment for Business Adds Ex-DOL Official to Advisory BoardA former BlackRock retirement strategist is also joining the advisory board of the firm's 401(k) division, and both newcomers are women.
May 19, 2017
NAFA Presses DOL to Use Procedures Law to Delay Fiduciary RuleAn Administrative Procedure Act provision allowing delay of a rule during a court challenge seems to be the administration's best hope, the annuity group says.
May 19, 2017
SEC Halts Alleged Fraud by Unregistered Firm: EnforcementThe FTC obtained a court order requiring the owner of precious metals scam to surrender his Florida home.
May 17, 2017
FINRA Watching Falling Number of BDs, CEO Cook SaysAt FINRA annual, Cook talks about FINRA360 and the odds that FINRA will seek to become an advisor SRO.