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.
5 Guideposts for RIAs to Comply With SEC’s Change of Control Rules
By Chris StanleyAll RIAs will inevitably need to navigate the SECs change of control rules and guidance. Heres how to stay on course.
October 27, 2016
SEC Charges Advisor for Overbilling Fees, Stealing AssetsThe SEC says Marc Broidy billed excess fees and also misappropriated funds to pay for overseas trips and leases on luxury vehicles.
October 27, 2016
SEC Zeros In on Advisors’ Whistleblower ComplianceExaminers targeting advisors and BDs compliance manuals, codes of ethics, employment agreements and severance agreements.
October 27, 2016
Most Advisors Confused on DOL Rule’s Impact: Galvin PollA majority incorrectly believes that, despite their work with retirement accounts, the new fiduciary standard wont impact them.
October 27, 2016
DOL Releases FAQs on Fiduciary RuleFirst round of FAQs answers 34 questions on new exemptions and amendments to existing exemptions.
October 26, 2016
SEC's Sketchy Insider Trading Definition Sparks Enforcement ActionsFund advisors should re-examine policies to prevent insider trading given the shifting contours of insider trading law and the SECs aggressive enforcement.
October 26, 2016
Senators Demand Clawback Rule in Response to Wells Fargo ScandalExecutive-pay rules under Dodd-Frank offer regulators a chance to address these accountability issues at major banks, wrote Sens. Warren and Menendez.
October 26, 2016
How to Answer When FINRA Knocks on Your DoorForward-thinking firms are mining existing data for actionable intelligence to manage compliance risk, says Bill Mariano.