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.
NAILBA speaker: Prepare now for DOL overtime pay rule
By Warren S. HerschThe DOL overtime pay rule makes no adjustment for the cost of living in different parts of the country, says Agency Services President Jack Dewald.
November 11, 2016
The Chilling Effect of an Over-Zealous FINRA's GibbetingAs FINRA puts the regulatory thumbscrews on broker-dealers, stepped-up policing trickles down to the advisor level. It's not a good development.
November 11, 2016
JPMorgan Vice Chairman Joins FINRA’s BoardStephen Cutler, also a former SEC enforcement director, was named to be a new Large-Firm Governor.
November 11, 2016
SEC Enforcement: Ex-Movie Producer Used Investor Cash to Buy Guns and JewelsIn other news, an Israeli-based firm must pay more than $1.7 million for misleading U.S. investors on binary options.
November 10, 2016
Ex-SEC Commissioner, No Dodd-Frank Fan, Leads Trump’s Financial Agency ReviewTrump named Paul Atkins, a fellow critic of the law, to lead the transition teams review of independent financial agencies.
November 10, 2016
Morgan’s Mandatory Arb Program ‘Stinks to High Holy Hell,’ Lawyer SaysThe companys controversial CARE program, which keeps employee disputes out of court, has created a big headache for FINRA.
November 09, 2016
DOL rule faces certain death under President-elect TrumpThe much-maligned rule will likely be killed come January.
November 09, 2016
DOL rule faces certain death under President-elect TrumpThe much-maligned rule will likely be killed come January.