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.
3 insights from an ACA notice pioneer
By Allison BellJeana Parker helped 723 clients send the IRS 446,602 1095-C forms for 2015.
December 08, 2016
Enforcement Director Ceresney to Leave SECDuring Andrew Ceresneys nearly four years as enforcement director, the SEC filed more than 2,850 enforcement actions.
December 08, 2016
The SEC on ADV Disclosure, Aaron Rodgers and the Robare DecisionThe multiple, troubling parallels between a TV commercial starring the Packers quarterback and the SECs overkill on the Robare conflict-of-interest case.
December 07, 2016
DOL Fiduciary Rule Likely Delayed, Not DerailedAt MarketCounsel Summit, industry officials urge advisors and BDs to continue their compliance efforts.
December 06, 2016
FINRA Says UBS Must Pay $18.6M to Puerto Rican Couple Over Closed-End FundsThere are more than 1,000 pending claims regarding Puerto Rico closed-end mutual funds sold by UBS, the claimants attorney says.
December 06, 2016
Joel Bruckenstein: DOL Rule Is Coming; Time for a Tech UpdateThe advisor tech guru talks to ThinkAdvisor about what the DOL rule means for advisors, technologically speaking.
December 06, 2016
Piwowar Likely SEC Acting Chair, Could Be New Chair: Ex-Commissioner AguilarAt MarketCounsel, Luis Aguilar says Michael Piwowar would not advance an SEC fiduciary rule.
December 06, 2016
Compliance expert answers 7 looming fiduciary rule questionsEY's Ben Yahr talks about what to expect with the DOL's April 2017 deadline on the horizon.