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.
Consumer groups reject DOL lawsuits
By Arthur D. PostalThree consumer groups are asking a D.C. federal court to deny a trade groups request for an injunction against the Department of Labor (DOL).
August 12, 2016
Unchartered waters: Why this IMO is seeking FI status under DOL ruleThe DOL fiduciary rule will likely mean cuts in commissions, and more standardized payouts, for agents and advisors, says Clarity 2 Prosperity CEO Jason Smith.
August 12, 2016
Unchartered waters: Why this IMO is seeking FI status under DOL ruleThe DOL fiduciary rule will likely mean cuts in commissions, and more standardized payouts, for agents and advisors, says Clarity 2 Prosperity CEO Jason Smith.
August 10, 2016
Treasury's AML Rule for RIAs Could Kick In Any Day NowBe forewarned that AML rules have a way of expanding to new and unanticipated areas, creating large enforcement targets for regulators to pursue aggressively.
August 10, 2016
IMOs take on enhanced sales role under the new DOL ruleThe Department of Labor's new fiduciary standard recognizes independent marketing organizations (IMO)s that broker financial products. But so far, only six IMOs have applied to be such "financial institutions."
August 10, 2016
IMOs take on enhanced sales role under the new DOL ruleThe Department of Labor's new fiduciary standard recognizes independent marketing organizations (IMO)s that broker financial products. But so far, only six IMOs have applied to be such "financial institutions."
August 10, 2016
SEC Charges Ex-NFL Player With Defrauding Former Coaches, ElderlyThe player cheated seniors and coaches, donors, alumni and employees of schools out of $10 million, the SEC said.
August 10, 2016
SEC Names Snyder Co-Head of Advisor ExamsSynder joins Jane Jarcho in OCIE to help oversee more than 520 lawyers, accountants and examiners.