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.
At Wall Street Parties, the Feds Are Now on the Prowl
By Matt RobinsonThe SEC has been moving in on the Wall Street conference circuit in hopes of getting a better handle on whos up to no good.
May 25, 2016
The DOL Rule(s): The 2016 Broker-Dealer Presidents PollIBDs' latest regulatory challenge is its biggest business challenge. That's not our editorial judgment it's how the leaders of 58 independent broker-dealers feel.
May 25, 2016
DOL Will Rely on Consumers, Advisors to Help Enforce Fiduciary Rule: BorziAt the launch of an investor awareness campaign, DOL's Phyllis Borzi and Vanguard founder John Bogle talk about the rule's effects and about future regulation.
May 25, 2016
DOL’s Best Interest Standard May Be Tougher Than It LooksThere were a number of excellent comments to my last blog, including a tome-like tutorial by Ron Rhoades on best interest and sole interest standards.
May 24, 2016
Will the DOL rule be catastrophic for advisors?Will the DOL fiduciary rule be a catastrophic event for the industry? Time will tell what the long-term impacts will be.
May 24, 2016
Will the DOL rule be catastrophic for advisors?Will the DOL fiduciary rule be a catastrophic event for the industry? Time will tell what the long-term impacts will be.
May 24, 2016
DOL’s Hauser Warns BDs to Prep for Fiduciary Deadline; AARP to Deploy ‘Mystery Shoppers’Hauser says BDs should be "nervous" if they aren't ready by April; meanwhile, AARP plans to assemble mystery shoppers to see if advisors are complying.
May 24, 2016
FINRA to Split Series 7 Exam; Readies Elder Fraud RuleThe exam will have two levels, basic and specialized. Also, FINRA wants to let brokers keep their licenses longer if they leave the business.