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.
Lawyer Tells What Really Goes On in FINRA Arbitration
By Jane Wollman RusoffKevin Galbraith tells ThinkAdvisor about online dating fraud, broker bonus disputes, Form U5 woes and other matters he brings before the FINRA panel.
August 03, 2017
SEC Ditches Plan for Third-Party Advisor AuditsAlso dropped from the agency's regulatory agenda: stress tests for larger advisors and target date fund disclosure updates.
August 03, 2017
A Look Inside LPL’s DOL Fiduciary StrategyWhether the rule is enforced Jan. 1 or not, the IBD will go forward with its new compliance tools, LPL's Bill Morrissey told ThinkAdvisor.
August 01, 2017
SIPC, FINRA to Offer Simpler BD Filing ProcessStarting Sept. 1, firms that currently file annual reports separately with SIPC and FINRA will file just once.
July 31, 2017
The DOL Fiduciary Rule: Implementation and Level-Fee FiduciariesIn my last column, I addressed the DOL fiduciary rule transition period. In this column, I will address the post-transition period.
July 31, 2017
Regulation and RobosBetterment CEO Jon Stein sees robo-advice as remedying an industry problem the old way of managing money is broken.
July 31, 2017
SEC Nabs 4 Former Brokers in Annuity Scam Targeting Federal WorkersBrokers conned federal employees to roll over federal Thrift Savings Plan accounts into higher-fee, variable annuity products.
July 28, 2017
Galvin Slams SEC's Piwowar Over Anti-Fiduciary Rule CommentsGalvin is dismayed that a sitting SEC commissioner would so forcefully join with industry to attack the rule.