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.
What’s Next for DOL Fiduciary Rule
By Bernice NapachSorting through the confusion that followed release of two memorandums from the White House on Friday about the status of the rule.
February 03, 2017
President Trump: Halt DOL fiduciary rule, review Dodd-FrankPresident Donald Trump is expected to sign a directive Friday telling the Department of Labor to halt implementation of its fiduciary rule, and another to roll back the Dodd-Frank Act.
February 03, 2017
President Trump: Halt DOL fiduciary rule, review Dodd-FrankPresident Donald Trump is expected to sign a directive Friday telling the Department of Labor to halt implementation of its fiduciary rule, and another to roll back the Dodd-Frank Act.
February 03, 2017
Trump Tells DOL to Halt Fiduciary Rule; Dodd-Frank TargetedPresident Trump signed executive orders to halt implementation of the DOL's fiduciary rule and to scale back regulations in the Dodd-Frank law.
February 03, 2017
SEC Charges Advisor With Stealing to Pay for Lawsuit: EnforcementIn other enforcement news, the SEC fined a California man and his fund in a golf resort investment scheme.
February 02, 2017
Why Advisors Should Act Like Fiduciaries With or Without DOL RuleIt's what their clients expect now, according to a panel of investment consultants at the TD Ameritrade annual LINC conference.
February 02, 2017
FINRA Expels BD, Bars CEO for Fraudulent Muni Bond SalesRobert Lawson transferred millions of dollars from a deceased client's trust to hide bond borrowers' poor financial condition.
January 31, 2017
Former SEC chair Mary Jo White speaksIn an exclusive interview, White comments on the future of the SEC's fiduciary rule, her biggest achievement as SEC chair and what's ahead under the new administration.