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.
Are Obama Judges ‘Less Friendly’ to Business?
By Zoe TillmanFifty-five judges have been confirmed to the federal appeals courts since 2009, with 31 of those judges replacing Republican appointees.
October 31, 2016
Why Wall Street’s Top Cop Criticized by Warren Could Stay AwhileWhite has said that both the Hillary Clinton and Donald Trump campaigns have asked if she would consider staying on.
October 28, 2016
5 Guideposts for RIAs to Comply With SEC’s Change of Control RulesAll RIAs will inevitably need to navigate the SECs change of control rules and guidance. Heres how to stay on course.
October 28, 2016
DOL releases first fiduciary rule FAQsThis round of FAQs answers 34 questions on new exemptions and amendments to existing exemptions.
October 27, 2016
SEI, Redtail Launch DOL Fiduciary Action PlanSEI and Redtail are the latest example of firms joining forces to help advisors manage their new compliance burdens.
October 27, 2016
SEC Charges Advisor for Overbilling Fees, Stealing AssetsThe SEC says Marc Broidy billed excess fees and also misappropriated funds to pay for overseas trips and leases on luxury vehicles.
October 27, 2016
SEC Zeros In on Advisors’ Whistleblower ComplianceExaminers targeting advisors and BDs compliance manuals, codes of ethics, employment agreements and severance agreements.
October 27, 2016
Most Advisors Confused on DOL Rule’s Impact: Galvin PollA majority incorrectly believes that, despite their work with retirement accounts, the new fiduciary standard wont impact them.