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.
Financial Choice Act Debate Zeros In on DOL Fiduciary Rule Repeal
By Melanie WaddellMeanwhile, the nine groups fighting fiduciary rule in Texas court filed an opening brief with the appeals court.
April 28, 2017
SEC Fines BlackRock RIA $1.5 MillionThe fine settles a compalint that the BlackRock RIA had operated a Russia ETF without obtaining the correct exemptive relief from the Investment Company Act.
April 28, 2017
Broker Charged With Defrauding Customers: EnforcementThe SEC also charged a portfolio manager with diverting nearly $2 million to a personal account.
April 27, 2017
Senate Confirms Acosta as Labor SecretaryGroups press Acosta to further delay fiduciary rule.
April 26, 2017
5 Compliance Approaches That Chase Away Advisor TalentCompliance departments often treat well-established advisors with good compliance records like teenagers.
April 26, 2017
Financial Planners Fight Spending Bill Rider That Kills DOL RuleThe Financial Planning Coalition moves against other industry players who are "aggressively advocating" for a rider that would prohibit DOL from implementing the fiduciary rule.
April 25, 2017
Raymond James’ National Event to Highlight DOL Fiduciary, Politics & MarketsThe yearly conference for its independent advisors takes place this week in Orlando.
April 24, 2017
SEC Accepting Comment on Inline XBRL Filing RequirementsIn an effort to improve the quality of data regarding financial firms, the SEC proposed a rule that would require firms to submit financial statements and mutual fund summaries using inline XBRL.