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.
Not So Fast, Mr. Cohn: Is Financial Advice Really Like a Restaurant Menu?
By Bob ClarkWhen you listen to folks argue for or against things for enough years, you start to recognize certain patterns.
June 06, 2017
How the Fiduciary Rule Will Squeeze Your ShelfTwo insurance industry veterans say you can get through this.
June 05, 2017
Supreme Court Clips the Wings of SEC EnforcementThe U.S. Supreme Court on Monday reined in an enforcement tool that the SEC wanted to use to exact billions in fines for long-ago misdeeds.
June 02, 2017
SEC Fiduciary Rule Cannot Replace DOL’s: Financial Planning CoalitionAny work done by the SEC should not stymie or undercut Labors fiduciary rule, the Coalition states.
June 02, 2017
Court Issues Arrest Warrant for Insider Trading Defendant: EnforcementIn other enforcement actions, a Boston federal court ordered a promoter of the TelexFree scheme to pay $1.8 million.
June 01, 2017
SEC Jumps Into Fiduciary Rule Fray, Seeking Comments on ‘Future Action’SEC chief Jay Clayton said he looked forward to robust, substantive input on advisor and BD standards of conduct.
June 01, 2017
FINRA Bars Former Morgan Stanley Rep Over Venezuelan Bond TradesRep concealed approximately $190 million in Venezuelan bond trades from the firm.
June 01, 2017
Financial Regulation Calls for 20/20 VisionFinancial Stability Oversight Council supporters say federal regulators need a wide-angle view.