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.
fi360 Launches DOL Fiduciary Training Program
By Melanie WaddellFiduciary Essentials for Advisors is divided into five modules covering DOL fiduciary rules and fi360s fiduciary best practices.
September 20, 2016
Let's think again about whether Dodd-Frank workedIt's not obvious that Dodd-Frank made the U.S. economy safer and sounder. Here's why.
September 20, 2016
Let's think again about whether Dodd-Frank workedIt's not obvious that Dodd-Frank made the U.S. economy safer and sounder. Here's why.
September 19, 2016
FINRA Names 3 New Board MembersTwo new public governors as well as a small firm governor named to FINRAs board.
September 16, 2016
‘Rolling’ DOL Fiduciary Guidance Begins in Fall: DOL’s HauserOur main goal in the near-term is to help people get to compliance, Hauser said, as the April deadline nears.
September 16, 2016
Enforcement: SEC Wins Anti-Fraud Case Against Miami; Stock ‘Whiz Kid’ BustedA stock trading whiz kid agrees to pay nearly $1.5 million to settle charges of defrauding newsletter subscribers; more
September 16, 2016
Not ready to become a DOL-compliant FI? Go partner with oneLegacy Marketing Group plans to share with IMO partners a DOL rule-friendly sales and compliance process.
September 16, 2016
Not ready to become a DOL-compliant FI? Go partner with oneLegacy Marketing Group plans to share with IMO partners a DOL rule-friendly sales and compliance process.