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.
The SEC on ADV Disclosure, Aaron Rodgers and the Robare Decision
By Chris StanleyThe multiple, troubling parallels between a TV commercial starring the Packers quarterback and the SECs overkill on the Robare conflict-of-interest case.
December 06, 2016
Joel Bruckenstein: DOL Rule Is Coming; Time for a Tech UpdateThe advisor tech guru talks to ThinkAdvisor about what the DOL rule means for advisors, technologically speaking.
December 06, 2016
Piwowar Likely SEC Acting Chair, Could Be New Chair: Ex-Commissioner AguilarAt MarketCounsel, Luis Aguilar says Michael Piwowar would not advance an SEC fiduciary rule.
December 06, 2016
Compliance expert answers 7 looming fiduciary rule questionsEY's Ben Yahr talks about what to expect with the DOL's April 2017 deadline on the horizon.
December 06, 2016
Compliance expert answers 7 looming fiduciary rule questionsEY's Ben Yahr talks about what to expect with the DOL's April 2017 deadline on the horizon.
December 05, 2016
Fee Compression, Compliance Are Top Concerns for Advisors: SEI SurveyOnly 11% of the advisors surveyed are ready for the implementation of the DOL fiduciary rule in 2017.
December 05, 2016
Fed’s Dudley Says Financial Regulation Job Remains UnfinishedRegulators still have not eliminated the threat posed by institutions considered too big to fail, Dudley says.
December 05, 2016
Credit Suisse Fined $16.5M by FINRA for Weak Anti-Money Laundering PoliciesThe firm fell short on procedures to detect possible money laundering involving microcap stock transactions.