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.
International Regulatory Shift Could Tame Cryptocurrency Market
By Ian LopezOn the heels of recent actions by Canadian regulators and the SEC, more countries are regulating digital currency as securities.
August 30, 2017
DOL Set for 15-Day Comment Period on Fiduciary Rule DelayLabor also said it planned to propose a new, streamlined exemption and sent another signal that the class action requirement would be removed from BICE.
August 29, 2017
When Are We Going to Get There?Google the phrase, When are we going to get there? and the message in Jason Zweigs weekend column stares you in the face.
August 28, 2017
What's Required Under DOL's Best-Interest Contract ExemptionIn my last column, I began to address the DOL post-transition period. In this column, I will further address the post-transition period, specifically, the best-interest contract.
August 28, 2017
Walking the WalkFormer "lobbyist-lite" Knut Rostad tells fiduciary advisors how to stand out.
August 28, 2017
DOL Files to Delay Fiduciary Rule's January Compliance DateAs anticipated, the DOL has filed with the OMB to extend by 18 months the applicability date of its fiduciary rule's more onerous prohibited transaction exemptions.
August 28, 2017
Big Form ADV Changes Coming Soon. Are You Ready?RIAs are bracing for major reporting changes regarding their Form ADVs that begin Oct. 1. An IAA counsel explains some of those changes.
August 25, 2017
Yellen Defends Financial Regs That Trump OpposesHer speech at Jackson Hole seemed directed at Trump, who will decide whether to reappoint or replace her.