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.
SEC Names ten Siethoff to Investment Management Rulemaking Office
By Melanie WaddellSEC has named Sarah ten Siethoff as deputy associate director in the Division of Investment Managements Rulemaking Office.
September 07, 2016
Eye on the future: Futurity First readies advisors for DOL ruleFuturity First CEO Michael Kalen says he's concerned about having enough time to meet the fiduciary rule's April 2017 implementation deadline.
September 06, 2016
Ex-SEC Whistleblower Chief McKessy Lands at Law Firm Phillips & CohenMcKessy becomes a partner in the whistleblower law firm's Washington office.
September 06, 2016
Survey: advisors fear consequences of DOL fiduciary ruleAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, the Cogent report notes.
September 06, 2016
Survey: advisors fear consequences of DOL fiduciary ruleAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, the Cogent report notes.
September 02, 2016
Will DOL fiduciary rule drive RIAs to — or from — BDs?Broker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule.
September 02, 2016
Will DOL fiduciary rule drive RIAs to — or from — BDs?Broker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule.
September 02, 2016
Alarm Raised Over Treasury Push to Close Estate Tax ‘Loophole’Law firms and wealth managers are warning clients that a significant estate planning technique could be lost.