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.
Reagan's Lesson for Trump: Listen to the Lawyers
By Cass R. SunsteinReagan learned that while its tempting to say yes to your boss, the most helpful answer is often the one he doesnt want to hear.
January 05, 2017
Trump, New Congress Must Cut Energy Regs: Oil LobbyistsThe American Petroleum Institute wants Trump and Congress to pare down in first 100 days federal rules that conflict with those imposed by the states.
January 04, 2017
Will Trump Choice for SEC Chief Stand Up for Investors?SEC pick Jay Clayton is a "highly regarded" lawyer, but a pro-regulation group hopes he can move beyond his background representing big banks.
January 04, 2017
FINRA’s Top 5 Exam Priorities for 2017Advisors and broker-dealers have just received a cheat sheet of sorts from FINRA.
January 04, 2017
Swaps Cop Massad Will Step Down, Letting Trump’s CFTC Take ShapeRegulator drew criticism for pushing rules as term neared end; move eases risk of panels Democrats outnumbering Republicans.
January 03, 2017
The Path Forward for the Proposed Family-Controlled Business Valuation RegulationsStrong negative public reaction and the incoming Trump administration call a controversial proposed rule into question.
January 03, 2017
5 Brokers Who Crossed FINRA in Q4Advisors did everything from obtaining credit cards using fake names to lying under oath, regulator says.
January 03, 2017
DOL tries to clarify QDIA regs on annuities in TDFsDOL letter responds to TIAA inquiry, offers guidance on how TDFs with annuities can comply with QDIA protocol.