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.
SEC’s White Warns: ‘Serious Mistake’ to Weaken Securities Rules
By Rebekah MintzerSEC Chairwoman warned that the agency must not retreat from tougher regulation and enforcement.
November 18, 2016
SEC to Continue Crackdown on ‘Stifling’ of WhistleblowersIn annual report to Congress, head of whistleblower office says agency will also zero in on patterns of retaliation.
November 17, 2016
JPMorgan Slammed With $264M in Sanctions Over Corrupt Hiring PracticesJPMorgans hiring of some employees at the request of foreign government officials allegedly enabled the firm to win business.
November 15, 2016
Deciphering ‘BICE-Lite’ in the DOL Fiduciary FAQsDOLs streamlined provision for recommendations of distributions and rollovers by Level Fee Fiduciaries is useful, but strings are attached.
November 15, 2016
SEC’s White: No SEC Fiduciary Rule Coming Before JanuaryIn her final House Financial Services panel testimony, White also said that the agency is still significantly underfunded.
November 14, 2016
SEC Chief White to Step Down in JanuaryWhite has championed a fiduciary rule for all advisors and pressed Congress to raise its budget so it could increase investment advisor exams.
November 14, 2016
SEC Chief White: Fintech May Need New RegulationAt inaugural fintech forum, SECs Piwowar said SEC should take the lead regulatory role in the fintech space.
November 14, 2016
NAILBA speaker: Prepare now for DOL overtime pay ruleThe DOL overtime pay rule makes no adjustment for the cost of living in different parts of the country, says Agency Services President Jack Dewald.