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 Mulls Heightened Oversight of High-Risk Brokers
By Melanie WaddellAt its May 10 meeting, the board also plans to consider issuing more guidance on unpaid arb awards.
May 04, 2017
Under Clayton’s SEC, Hefty Fines for Inadvertent Errors May Be Status QuoTwo big fines on fund advisors regrading paying 12b-1 distribution fees call into question just how lenient the current SEC is willing to be.
May 04, 2017
R. Alexander Acosta — Fiduciary Foreman: The 2017 IA 25The new Labor secretary could lead the unwinding, and potentially killing, of Labors fiduciary rule, which was six years in the making.
May 03, 2017
Obama Holdover at Bank Agency Ousted by Trump AdministrationMnuchin names banking lawyer to run OCC on temporary basis.
May 03, 2017
Financial Choice Act Debate Zeros In on DOL Fiduciary Rule RepealMeanwhile, the nine groups fighting fiduciary rule in Texas court filed an opening brief with the appeals court.
May 02, 2017
Donald Trump — Changemaker in Chief: The 2017 IA 25Not long after being sworn in as president, Donald Trump began taking action on three major reforms health care, taxes and regulations.
May 02, 2017
Senate Confirms Jay Clayton as SEC ChairmanGroups press Clayton to prioritize uniform fiduciary rule for brokers and advisors.
April 28, 2017
SEC Fines BlackRock RIA $1.5 MillionThe fine settles a compalint that the BlackRock RIA had operated a Russia ETF without obtaining the correct exemptive relief from the Investment Company Act.