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.
Proposed DOL fiduciary rule exemption could impact IMOs
By Kristen BeckmanIMOs may have to meet a capital reserve threshold to become financial institutions under a proposal filed by the Labor Department.
January 06, 2017
DOL’s Perez Makes Plea to Trump as NAFA Appeals Fiduciary DecisionIn an exit memo, Perez said the next administration and Congress must adequately fund DOLs enforcement of the fiduciary and overtime rules.
January 06, 2017
Reagan's Lesson for Trump: Listen to the LawyersReagan learned that while its tempting to say yes to your boss, the most helpful answer is often the one he doesnt want to hear.
January 05, 2017
No one connected dots as Platinum reported Madoff-like returnsU.S. authorities had plenty of reasons to suspect something might have been fishy about the hedge fund Platinum Partners.
January 05, 2017
No one connected dots as Platinum reported Madoff-like returnsU.S. authorities had plenty of reasons to suspect something might have been fishy about the hedge fund Platinum Partners.
January 05, 2017
Trump, New Congress Must Cut Energy Regs: Oil LobbyistsThe American Petroleum Institute wants Trump and Congress to pare down in first 100 days federal rules that conflict with those imposed by the states.
January 04, 2017
Will Trump Choice for SEC Chief Stand Up for Investors?SEC pick Jay Clayton is a "highly regarded" lawyer, but a pro-regulation group hopes he can move beyond his background representing big banks.
January 04, 2017
FINRA’s Top 5 Exam Priorities for 2017Advisors and broker-dealers have just received a cheat sheet of sorts from FINRA.