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.
FINRA to Get Back to Basic ‘Blocking and Tackling,’ New CEO Says
By James J. GreenFINRA hasn't been been listening well to its stakeholders, CEO Robert Cook says. I hope to change that.
January 24, 2017
IMOs to DOL: Fiduciary rule class exemption sets too high a barThe DOL's proposed class exemption for IMOs represents 'one step ahead, but two steps back,' says Futurity First Insurance Group CEO Michael Kalen.
January 23, 2017
SEC Halts Senior Assisted Living Muni ScamA South Carolina businessman was charged in fraudulent bond offerings for senior care facilities in Georgia and Alabama.
January 23, 2017
Trump Pledges to Cut Regulations by 75%, Will Face Hiccups in CongressTrump can "undermine" Dodd-Frank through "more lenient regulation and enforcement," Andy Friedman notes.
January 20, 2017
FINRA Seeks Comment on BD Blockchain ImplementationFINRA issued a report on Wednesday examining the uses and implications of distributed ledger technology in the securities industry.
January 20, 2017
DOL Posts Indexed Annuity Fiduciary Rule Exemption DraftTo get supervisory responsibility, a marketing organization might need $1.5 billion in annual sales.
January 20, 2017
FINRA Mulls Changing Its Rulemaking ProcessFINRA plans to ask BDs about what changes need to be made to its engagement and transparency policies including how it crafts rules.
January 20, 2017
SEC Fines BlackRock and HomeStreet for Impeding Whistleblowers: EnforcementIn other enforcement news, Allergan will pay a $15 million penalty for disclosure failures during merger talks.