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.
Clinton Says Wells Fargo Proves Mandatory Arb Should Be Banned
By David BaumannPresidential nominee Hillary Clinton pledges to ban mandatory arbitration as Wells Fargo scandal unfolds.
October 05, 2016
Credit Suisse to Pay $90M to SEC Over Sales Target MalfeasanceCredit Suisse reverse-engineered the process for recognizing net new assets to meet sales targets, says SEC enforcement chief Ceresney.
October 04, 2016
Fiduciary Compliance Requires More Than a Tech ‘Band-Aid’: Orion’s ClarkeOrion Advisor Services CEO says advisors should determine how the DOL rule impacts their business before buying technology widgets that promise compliance.
October 04, 2016
SEC Waging Enforcement ‘War’ on Advisors: GiachettiTom Giachetti of Stark & Stark says the current SEC and its chairwoman Mary Jo White are the most aggressive hes ever seen.
October 04, 2016
New nursing home regs could help LTCI usersIf a resident exhausts private resources, the facility must accept Medicaid rates, the Centers for Medicare & Medicaid Services says.
October 04, 2016
New nursing home regs could help LTCI usersIf a resident exhausts private resources, the facility must accept Medicaid rates, the Centers for Medicare & Medicaid Services says.
October 02, 2016
5 Big Changes Advisors Should Make by Fiduciary Rule Deadline: AssetMarkAs the April 10 deadline approaches, advisors should be taking these key actions to update their practices.
October 01, 2016
New Federal Law, SEC Scrutiny Triggers Clarification of Whistleblower RightsExisting privacy regulations and common sense have led advisors to vigorously protect confidential information.