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.
3-2-1: ThinkLeader! Norm Champ, Ex-SEC Director of Investment Management
By Ronald PechtimaldjianIn this quick video, Champ answers three questions: 1) Favorite movie about finance, 2) Favorite superhero, and 3) What economic trend scares him the most.
April 12, 2017
JPMorgan Delays Moving Wealth Clients Amid DOL LimboWith uncertainty surrounding the DOL fiduciary rule, the bank says that its customers can keep using financial advisors.
April 11, 2017
IRS Struggles to Enforce Employer Health MandateA watchdog agency sees delays in efforts to set up 1095-C compliance systems.
April 10, 2017
Insurance Regulators May Update Annuity Sales Model Amid DOL Fiduciary Rule UncertaintyA New York state official says the NAIC should fill in any DOL fiduciary rule holes.
April 10, 2017
SEC Busts 27 Over ‘Independent’ Stock Commentary That Was Anything ButRegulator warns that commentary on investment research websites may be part of paid stock promotion campaigns, even when writers say they are independent.
April 10, 2017
FINRA Updates Sanction Guidelines to Include Vulnerable IndividualsFINRA's revised guidance also covers sanctions imposed by other regulators.
April 07, 2017
FINRA’s 6 Steps to Recovery for Fraud VictimsThe industry group outlines the details of what investors can do after being affected by financial crime.
April 07, 2017
Chief of Staff of Ex-SEC Head White Rejoins Shearman & SterlingNallengara joins firms capital markets and corporate governance practices in New York.