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.
FINRA Blasted for Not Fixing ‘Broken’ BrokerCheck
By Melanie WaddellPIABA, a group of lawyers who represents investors, says that FINRA wasted money on TV advertising pushing its flawed system.
October 20, 2016
4 versions of the Best Interest Contract ExemptionFor the DOL fiduciary rule, there's not one Best Interest Contract Exemption, but four.
October 20, 2016
The DOL may regulate entertainer Dave Ramsey, but should it?This months 'Seriously Dave' column asks whether the DOLs new fiduciary rule applies to Dave Ramsey or conflicts with a 1985 Supreme Court decision.
October 19, 2016
FINRA Close to Filing Fraud Rule for ‘Vulnerable’ InvestorsFINRA senior helpline has received 6,700 calls to date. Top call queries: education, variable annuities, BrokerCheck.
October 19, 2016
DOL rule: Ex-NAIFA chief readies practice for the new regimeWhere some advisors see stress and strife as a result of the demands of the DOL fiduciary rule, former NAIFA President Juli McNeely sees opportunity.
October 19, 2016
DOL rule: Ex-NAIFA chief readies practice for the new regimeWhere some advisors see stress and strife as a result of the demands of the DOL fiduciary rule, former NAIFA President Juli McNeely sees opportunity.
October 17, 2016
SEC Launches New FINRA Inspection TeamFINRA and Securities Industry Oversight group, headed by Kevin Goodman, chief of the agencys BD exam program, is now up and running, says SEC.
October 17, 2016
Survey: Most advisors expect rise in DOL compliance costsAdvisors will need to enhance governance processes and implement new technologies as they seek to comply with the DOL rule.