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.
Coming soon: President Trump's fiduciary rule executive order
By Melanie WaddellThe Presidents executive order to delay implementation of the Department of Labors fiduciary rule will likely happen within days.
January 24, 2017
If DOL Fiduciary Gets Delayed, Seize the Moment: FSI’s BrownThe FSI chief says Trump's election gives it once-in-a-generation opportunity to push for more advisor- and client-friendly reforms.
January 24, 2017
FINRA to Get Back to Basic ‘Blocking and Tackling,’ New CEO SaysFINRA hasn't been been listening well to its stakeholders, CEO Robert Cook says. I hope to change that.
January 24, 2017
‘No Going Back’ on Commissions, Fiduciary Changes, Broker-Dealer CEOs SayAt FSI OneVoice, execs say that, DOL rule or no DOL rule, commission-based business models are on their way out.
January 24, 2017
IMOs to DOL: Fiduciary rule class exemption sets too high a barThe DOL's proposed class exemption for IMOs represents 'one step ahead, but two steps back,' says Futurity First Insurance Group CEO Michael Kalen.
January 24, 2017
IMOs to DOL: Fiduciary rule class exemption sets too high a barThe DOL's proposed class exemption for IMOs represents 'one step ahead, but two steps back,' says Futurity First Insurance Group CEO Michael Kalen.
January 23, 2017
SEC Halts Senior Assisted Living Muni ScamA South Carolina businessman was charged in fraudulent bond offerings for senior care facilities in Georgia and Alabama.
January 23, 2017
Trump Pledges to Cut Regulations by 75%, Will Face Hiccups in CongressTrump can "undermine" Dodd-Frank through "more lenient regulation and enforcement," Andy Friedman notes.