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.
OMB Looks Ready to OK Delay of Fiduciary Rule
By Melanie WaddellA delay of the rule's implementation could become effective as early as this week, regulatory watchers say.
February 17, 2017
NASAA, SEC Sign Crowdfunding Agreement as Rules Kick InMOU allows federal and state securities regulators to monitor the effects of new rules and guard against fraud.
February 17, 2017
Citi Faces 3 FINRA Fines: EnforcementIn another enforcement action, a purported real estate investment manager settled SEC fraud charges.
February 17, 2017
Democrats should give the new ACA exchange regs a breakEven people who love the insurance shopping malls might see a need for changes.
February 16, 2017
Luis Aguilar, Ron Carson Join Institute for the Fiduciary Standard Advisory BoardDan Solin and Woodrow Leake were also named to the board featuring John Bogle and Tamar Frankel.
February 15, 2017
LPL Fined $900K Over Failure to Send 1.6M Notices to ClientsThe information should have been sent to investors whose accounts were tied to suitability notices over a seven-year period.
February 15, 2017
Former SEC Chair White Returns to DebevoiseMary Jo White is returning to Debevoise and Plimpton as senior chair of the firm.
February 15, 2017
DOL rule, Dodd-Frank up in the air: What now for advisors?If the DOL opts to revamp the fiduciary rule, critics are hoping the revisions will be significant, starting with an overhaul of the best interest contract exemption.