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.
Texas judge denies all but 2 briefs in DOL fiduciary hearing
By Melanie WaddellFinancial Planning Coalition, American Association for Justice briefs allowed.
August 31, 2016
Texas Judge Denies All but 2 Briefs in DOL Fiduciary HearingThe two briefs don't repeat arguments made by either party in the case, the judge said; six briefs were rejected.
August 30, 2016
SEC Overstepped Authority in Retroactive Civil Fine Hike: LawyersSEC overstepped its authority by embracing a retroactive civil monetary penalty fee hike that could spark lawsuits, securities attorneys warn.
August 30, 2016
A DOL fiduciary rule compliance checklistHeres a pithy, practical, six-point checklist to help advisors of all stripes comply with the DOL rule.
August 30, 2016
A DOL fiduciary rule compliance checklistHeres a pithy, practical, six-point checklist to help advisors of all stripes comply with the DOL rule.
August 30, 2016
SEC Doles Out $22M Whistleblower AwardThe SEC has awarded more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud.
August 29, 2016
Advisor Put Transit Workers on Risky Investment Path, FINRA SaysRetired bus workers lost some $140,000 due to "unsuitable" investments in energy firms and gold, says a FINRA complaint.
August 29, 2016
When Clients’ Mental Capacity Diminishes: An Advisor’s RoleHere are the signs of dementia and other forms of cognitive decline, and how advisors can help the client and her family while protecting themselves.