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.
Live from LIMRA: Tackling the DOL rule
By Emily HolbrookSome in the life insurance industry see the DOL fiduciary rule as an opportunity. Here's why.
October 21, 2016
SEC Enforcement: Advisor Charged With Failing to Disclose Conflict of InterestVCAMs founder will be barred from the securities industry for two years. Also, Bank Leumi is charged with conducting cross-border business in the U.S.
October 21, 2016
FINRA Blasted for Not Fixing ‘Broken’ BrokerCheckPIABA, a group of lawyers who represents investors, says that FINRA wasted money on TV advertising pushing its flawed system.
October 20, 2016
Senior Safe Act Could Be Signed Into Law by Year-EndSenior financial abuse will only continue to grow as the senior population increases by 10,000 people per day through 2030, says SIFMA's Hammerman.
October 20, 2016
4 versions of the Best Interest Contract ExemptionFor the DOL fiduciary rule, there's not one Best Interest Contract Exemption, but four.
October 20, 2016
4 versions of the Best Interest Contract ExemptionFor the DOL fiduciary rule, there's not one Best Interest Contract Exemption, but four.
October 20, 2016
The DOL may regulate entertainer Dave Ramsey, but should it?This months 'Seriously Dave' column asks whether the DOLs new fiduciary rule applies to Dave Ramsey or conflicts with a 1985 Supreme Court decision.
October 19, 2016
FINRA Close to Filing Fraud Rule for ‘Vulnerable’ InvestorsFINRA senior helpline has received 6,700 calls to date. Top call queries: education, variable annuities, BrokerCheck.