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.
Compliance expert answers 7 looming fiduciary rule questions
By Warren S. HerschEY's Ben Yahr talks about what to expect with the DOL's April 2017 deadline on the horizon.
December 05, 2016
Credit Suisse Fined $16.5M by FINRA for Weak Anti-Money Laundering PoliciesThe firm fell short on procedures to detect possible money laundering involving microcap stock transactions.
December 05, 2016
The DOL fiduciary rule's future remains murkyAssistant Secretary of Labor Phyllis Borzi refuses to concede that the fiduciary rule faces certain death as a Republication senator tells her agency to halt implementation.
December 05, 2016
The DOL fiduciary rule's future remains murkyAssistant Secretary of Labor Phyllis Borzi refuses to concede that the fiduciary rule faces certain death as a Republication senator tells her agency to halt implementation.
December 02, 2016
FINRA to Increase Number of Public ArbitratorsThe SEC has approved a FINRA rule to increase the number of arbitrators on the public arbitrator list from 10 to 15.
December 02, 2016
PIMCO to Pay SEC Nearly $20M for Misleading Total Return ETF InvestorsPIMCO didnt tell investors that the initial surge by the fundformerly managed by Bill Grosswas driven by a strategy that wasnt sustainable, the SEC said.
December 02, 2016
Trump’s Choice of Bharara Sends Message: We’ll Bust Corporate CriminalsEx-U.S. attorney John Wood believes Trump wants to hold the powerful accountable despite appointing several wealthy bankers to his administration.
December 01, 2016
10 Key Dates That Could Move MarketsSinead Colton of Mellon Capital says the final weeks of the year and the next 12 months could prove interesting.