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.
Morgan Stanley to Cut Fees, Keep Commissions Despite DOL Doubts
By Janet LevauxWhile speculation about the fiduciary rule abounds, the wirehouse insists it will decrease conflicts of interest and redundant offerings.
January 26, 2017
Brokerage Charged With Ignoring Signs of Pump-and-Dump Scheme: SEC EnforcementThe SEC also charged Morgan Stanley and Citigroup with misleading investors about a forex trading program.
January 26, 2017
DOL Fiduciary Rule Inspires New Alphabet Soup of Fund SharesJanus has filed with the SEC to launch P and Z shares.
January 26, 2017
Citi Agrees to Pay $18.M to SEC Over Excess Fees on Managed AccountsThis repayment and fine come two weeks after a similar settlement with New York officials.
January 26, 2017
Coming soon: President Trump's fiduciary rule executive orderThe Presidents executive order to delay implementation of the Department of Labors fiduciary rule will likely happen within days.
January 25, 2017
House GOP Pledges to ‘Bust Up’ IRS in Tax PlanThere are three pillars to the GOP tax plan, including "busting up" the "huge, unaccountable IRS," Ways and Means Chair Kevin Brady says.
January 25, 2017
FSI Brain Trust Touts Growth; Confident on DOL Rule DelayLeaders of the IBD group say its recent membership growth and advocacy success give it "more firepower."
January 24, 2017
If DOL Fiduciary Gets Delayed, Seize the Moment: FSI’s BrownThe FSI chief says Trump's election gives it once-in-a-generation opportunity to push for more advisor- and client-friendly reforms.