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.
DOL's Borzi: Rule or No Rule, There's No Going Back on Fiduciary
By Melanie Waddell"Im not going to conclude that this rule is going away" under the Trump administration, Borzi said at a Consumer Federation of America conference.
November 30, 2016
FINRA Hits Merrill With $7M Penalty on Customer AccountsFINRA fined Merrill for inadequately supervising its customers use of leverage in certain brokerage accounts.
November 29, 2016
In DOL/Post-DOL Fiduciary World, RIAs Need to Re-DifferentiateHow RIAs should respond to what's likely to be a new wave of deregulation.
November 29, 2016
Financial Advisors Voted Overwhelmingly for Trump: FSI PollFinancial advisors favored Trump over Clinton by a ratio of more than 3 to 1, according to a post-election poll from FSI.
November 29, 2016
Kevin Knull’s 6 Parts of a DOL-Friendly Financial PlanKevin Knull, president of PIEtech, creators of MoneyGuidePro, tells ThinkAdvisor what advisors must know about their clients in order to work in their best interest.
November 29, 2016
FINRA Fines VALIC $1.75M Over Comp Policies, VA SalesFor three years, reps had incentives to move assets into proprietary products and were not adequately supervised, the regulator says.
November 28, 2016
Kansas Judge Upholds DOL Fiduciary RuleIn the rule's second legal victory, a Kansas federal judge rejected insurer Market Synergy's request to block it.
November 23, 2016
Fed Officials Expect to Raise Rates in DecemberFed officials see a strengthening case to raise rates as the labor market tightened, according to their November meeting minutes.