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.
Let's think again about whether Dodd-Frank worked
By Tyler CowenIt's not obvious that Dodd-Frank made the U.S. economy safer and sounder. Here's why.
September 16, 2016
Enforcement: SEC Wins Anti-Fraud Case Against Miami; Stock ‘Whiz Kid’ BustedA stock trading whiz kid agrees to pay nearly $1.5 million to settle charges of defrauding newsletter subscribers; more
September 16, 2016
Not ready to become a DOL-compliant FI? Go partner with oneLegacy Marketing Group plans to share with IMO partners a DOL rule-friendly sales and compliance process.
September 16, 2016
Not ready to become a DOL-compliant FI? Go partner with oneLegacy Marketing Group plans to share with IMO partners a DOL rule-friendly sales and compliance process.
September 15, 2016
More advisors interested in regulatory trainingForty percent of advisors are eager for regulatory training in the face of the DOL fiduciary rule implementation.
September 15, 2016
Compliance Support for DOL Fiduciary Rule Next Big Advisor Need: CogentAdvisor education may be important for firms as much for assuaging fears and easing confusion as for compliance, new research from Cogent says.
September 15, 2016
Compliance support for advisors will be key with DOL fiduciary ruleAdvisor education may be the next need to assuage fears and ease compliance confusion.
September 15, 2016
Compliance support for advisors will be key with DOL fiduciary ruleAdvisor education may be the next need to assuage fears and ease compliance confusion.