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.
Ex-CFO at Schorsch-Related REIT Arrested
By Janet LevauxThe SEC and U.S. Attorney took action against Brian Block while pressing charges against Lisa McAlister, who has pleaded guilty.
September 08, 2016
Fee-only RIAs still need to monitor fiduciary rule exposuresFee-only registered investment advisors (RIAs) have the path of least resistance under the DOL's new fiduciary rule. But unanswered questions remain.
September 07, 2016
SEC Names ten Siethoff to Investment Management Rulemaking OfficeSEC has named Sarah ten Siethoff as deputy associate director in the Division of Investment Managements Rulemaking Office.
September 07, 2016
Survey: Advisors Fear Consequences of DOL Fiduciary RuleAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, a Cogent report finds.
September 07, 2016
Eye on the future: Futurity First readies advisors for DOL ruleFuturity First CEO Michael Kalen says he's concerned about having enough time to meet the fiduciary rule's April 2017 implementation deadline.
September 07, 2016
Eye on the future: Futurity First readies advisors for DOL ruleFuturity First CEO Michael Kalen says he's concerned about having enough time to meet the fiduciary rule's April 2017 implementation deadline.
September 06, 2016
Ex-SEC Whistleblower Chief McKessy Lands at Law Firm Phillips & CohenMcKessy becomes a partner in the whistleblower law firm's Washington office.
September 06, 2016
Survey: advisors fear consequences of DOL fiduciary ruleAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, the Cogent report notes.