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.
FINRA to Release More Guidance on Bad Brokers
By Melanie WaddellAt Georgetown event, CEO Cook says FINRA will give firms a better understanding of expectations on identifying high-risk brokers.
June 08, 2017
3 Possible DOL Reforms That Could Help AdvisorsKBW analysts share their views on what deregulation banks and broker-dealers can expect this year and next.
June 08, 2017
Former Cetera CCO Breton Joins Triad AdvisorsBernie Breton will help Triad navigate fiduciary rule compliance.
June 08, 2017
Bill to Kill Dodd-Frank, Repeal Fiduciary Rule Passes HouseFinancial Choice Act likely DOA in Senate, Democrats say.
June 08, 2017
Fiduciary Rule Readiness Check: June 9 Effective DateWith the DOL fiduciary rule applicability date now here, it is crucial that advisors understand what that actually means.
June 08, 2017
RIAs, Don’t Assume You’re Already in Compliance With DOL Fiduciary RuleYes, the DOL rule applies to you, too, Rick Edelman tells advisors.
June 07, 2017
FINRA Bars Rep for Failing to Disclose $100 Million in EB-5 InvestmentsJim Seol failed to disclose his private business to Ameriprise for years, FINRA says.
June 07, 2017
DOL Takes First Step Toward Fiduciary Rule ChangesLabor has released a request for information seeking public input on potential further changes to its fiduciary rule; a top Schwab lobbyist weighs in.