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.
Wells Fargo Outlines DOL, Tech Plans; Departures Continue
By Janet LevauxThe wirehouse urged its FAs to "have conversations with clients and document" that discussion.
December 22, 2016
Department of Labor’s 2016 by the NumbersA changing administration portends a change in direction, but heres how the DOL did in 2016.
December 22, 2016
Icahn named special Trump adviser to roll back regulationsCarl Icahn reiterated his calls for reducing federal regulations that have run amok while saying some curbs, including the Dodd-Frank law, remain necessary.
December 22, 2016
Icahn named special Trump adviser to roll back regulationsCarl Icahn reiterated his calls for reducing federal regulations that have run amok while saying some curbs, including the Dodd-Frank law, remain necessary.
December 22, 2016
FINRA Fines Deutsche Bank $3.25M for Deficient Disclosures: EnforcementFINRA also fined Allstate Financial Services $1 million for failing to supervise certain communications and transactions.
December 22, 2016
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers?Chairwoman Whites departure may not end the Enforcement Divisions pursuit of minor violations.
December 21, 2016
Sex, Drugs and Pay-to-Play Fraud Hit New York Pension Fund: SECTwo brokers were charged with providing thousands of dollars in gifts to a former NY state pension fund official in exchange for billions in business.
December 21, 2016
Wagner Law Group to Open Washington OfficeERISA attorney Marcia Wagner says the new office will help navigate "some of the most complicated legal and regulatory landscapes."