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.
Coalition Urges Trump Not to Dump DOL’s Fiduciary Rule
By Melanie WaddellGroups want Trump to keep campaign promise; also DOL urges judge in NAFA case not to stay his decision.
November 18, 2016
Judge in Texas Case ‘Very Hard’ on DOL Rule, Lawyer SaysCFP Board lawyer in court room, though, said both sides made very persuasive arguments.
November 18, 2016
SEC’s White Warns: ‘Serious Mistake’ to Weaken Securities RulesSEC Chairwoman warned that the agency must not retreat from tougher regulation and enforcement.
November 18, 2016
Despite Threats to DOL Rule, Advisors Urged to Finish Compliance EffortsIAAs Neil Simon says advisors should be prepared by the April deadline despite the uncertainty.
November 18, 2016
FINRA Sanctions Oppenheimer & Co. $3.4 Million: EnforcementIn other enforcement news, SEC charges a renewable energy company, CEO and others with defrauding investors.
November 18, 2016
SEC to Continue Crackdown on ‘Stifling’ of WhistleblowersIn annual report to Congress, head of whistleblower office says agency will also zero in on patterns of retaliation.
November 17, 2016
JPMorgan Slammed With $264M in Sanctions Over Corrupt Hiring PracticesJPMorgans hiring of some employees at the request of foreign government officials allegedly enabled the firm to win business.
November 15, 2016
Deciphering ‘BICE-Lite’ in the DOL Fiduciary FAQsDOLs streamlined provision for recommendations of distributions and rollovers by Level Fee Fiduciaries is useful, but strings are attached.