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.
Supreme Court May Clip SEC’s Enforcement Power
By Tony MauroA key SEC enforcement tool may soon be reined in by the court.
April 13, 2017
Raymond James to Pay $150M Over Ski Resort-Green Card ScamA former Raymond James advisor solicited funds from EB-5 investors for a Vermont ski resort, then misused the money, the SEC said.
April 13, 2017
Morningstar Pushes Change in DOL Fiduciary Rule EnforcementThe fund rating agency suggests a third-party audit of firms big data to check if individual portfolios are providing a best interest standard of advice.
April 13, 2017
What to Do When the DOL Comes KnockingThe auditors could come after health plans, retirement plans, or all plans.
April 13, 2017
3-2-1: ThinkLeader! Norm Champ, Ex-SEC Director of Investment ManagementIn this quick video, Champ answers three questions: 1) Favorite movie about finance, 2) Favorite superhero, and 3) What economic trend scares him the most.
April 13, 2017
FINRA Seeks Comment on Capital Raising, Underwriting, Research ReportsThe requests are part of the FINRA360 initiative.
April 12, 2017
Financial Choice Act to Be Reintroduced by End of AprilThe Dodd-Frank replacement bill still requires DOL to promulgate a fiduciary rule similar to one issued by the SEC.
April 12, 2017
JPMorgan Delays Moving Wealth Clients Amid DOL LimboWith uncertainty surrounding the DOL fiduciary rule, the bank says that its customers can keep using financial advisors.