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.
As Indie BDs Dwindle, Is FINRA Outdated?
By Melanie WaddellBrad Bennett, former head of FINRA enforcement, said that some brokers are becoming investment advisors to minimize their regulatory burden.
May 26, 2017
DOL Fiduciary Deadline Is Coming. Here’s a Compliance ChecklistCompliance firms and attorneys are busy giving advisors, BDs and plan sponsors a to-do list as the June 9 compliance date nears.
May 25, 2017
A Step Backward in Financial RegulationThe Financial Choice Act will make the financial system less safe, and it won't eliminate bailouts in a future crisis.
May 25, 2017
The Fixed-Index Annuity Industry Won Battles Only To Lose the WarA financial consultant looks at the ties that bind you.
May 24, 2017
Trump Budget Cuts SEC’s Tech FundingTrump budget seeks to abolish agency's Reserve Fund, which was created by Dodd-Frank.
May 23, 2017
Merrill to Pay Fine Over Trading, Disclosure IssuesMore than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.
May 23, 2017
Sticking to DOL Fiduciary Deadline Is ‘Right Move,’ Says fi360’s AikinOpponents, meanwhile, were disappointed by Acosta's decision; "dramatic and fundamental changes are appropriate and necessary," says SIFMA's Bentsen.
May 23, 2017
FINRA Elects Piper Jaffray’s Duff as Large-Firm GovernorDuff's "deep experience working with institutional and individual investors will be an invaluable asset to our deliberations, said FINRA CEO Cook.