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.
DOL rule, Dodd-Frank up in the air: What now for advisors?
By Warren S. HerschIf 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.
February 14, 2017
Yellen Sees More Rate Hikes Needed if Economy Stays on CourseThe Fed chair was delivering her semiannual report on monetary policy to the Senate in her first appearance since Donald Trump was elected president.
February 13, 2017
Sen. Warren Grills Puzder in Letter on DOL Fiduciary Ahead of HearingSen. Elizabeth Warren challenged the Labor secretary nominee to provide answers on how he'd handle the fiduciary rule review.
February 13, 2017
FINRA Mulls Allowing Performance Projections for Investing StrategiesAn amendment now out for comment would let firms illustrate the projected performance of a strategy or allocation but not an individual security.
February 10, 2017
SEC's Top 5 Advisor Compliance FailuresAn OCIE alert highlights the top deficiencies found in advisor exams.
February 10, 2017
DOL expected to delay fiduciary ruleAs expected, the Department of Labor filed a notice Thursday with the Office of Management and Budget to delay implementation of its fiduciary rule.
February 10, 2017
DOL Files to Delay Fiduciary RuleDOL filed a notice Thursday with the Office of Management and Budget to delay implementation of its fiduciary rule.
February 10, 2017
Voters Favor Increased Regulation of Financial Institutions: PollA new poll reveals half of voters are in favor of more regulation for banks, credit unions and other financial institutions.