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.
SEC’s White: No SEC Fiduciary Rule Coming Before January
By Melanie WaddellIn her final House Financial Services panel testimony, White also said that the agency is still significantly underfunded.
November 14, 2016
NAILBA speaker: Prepare now for DOL overtime pay ruleThe DOL overtime pay rule makes no adjustment for the cost of living in different parts of the country, says Agency Services President Jack Dewald.
November 14, 2016
NAILBA speaker: Prepare now for DOL overtime pay ruleThe DOL overtime pay rule makes no adjustment for the cost of living in different parts of the country, says Agency Services President Jack Dewald.
November 13, 2016
How Trump, New Labor Chief Could Kill DOL Fiduciary RuleIf overturning the DOL rule is a high priority for Trump, it will happen one way or another, says Andy Friedman of Washington Update.
November 11, 2016
HAFA urges agents to keep fightingCompliance specialists say a 'quick' ACA repeal effort could take months of work.
November 11, 2016
The Chilling Effect of an Over-Zealous FINRA's GibbetingAs FINRA puts the regulatory thumbscrews on broker-dealers, stepped-up policing trickles down to the advisor level. It's not a good development.
November 11, 2016
JPMorgan Vice Chairman Joins FINRA’s BoardStephen Cutler, also a former SEC enforcement director, was named to be a new Large-Firm Governor.
November 11, 2016
SEC Enforcement: Ex-Movie Producer Used Investor Cash to Buy Guns and JewelsIn other news, an Israeli-based firm must pay more than $1.7 million for misleading U.S. investors on binary options.