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.
For IRA Investors, a Warning on DOL Fiduciary Rule
By Bob ClarkThe DOL's conflict of interest rule didn't quite extend fiduciary protection all the way to IRAs, Bob Clark writes.
May 15, 2016
Cybersecurity: A Focus for Regulators and Advisors in 2016Todays independent financial advisors wear many hats, but theres another responsibility that has become critical in recent yearsthat of identity protector.
May 13, 2016
Enforcement: Father, Son Paid for Fraud Defense by Bilking Native Americans: SECIn another action, FINRA censured and fined Securities America over note sales without due diligence.
May 12, 2016
Insurers ponder court challenge to DOL ruleLegal experts float words of caution as the American Council of Life Insurers (ACLI) explores a possible legal challenge to the new fiduciary standard.
May 12, 2016
6 DOL Fiduciary Tasks to Tackle Before First DeadlineFinancial advisory firms have a lot to do between now and April 10, 2017, when the DOLs fiduciary rule becomes applicable.
May 12, 2016
Benefits vendor’s flub leads to data breach at GoogleGoogle employee data was compromised by a third-party benefits provider mistakenly sending an email to an unintended source.
May 11, 2016
Senators raise concerns about advisor oversightFINRA says advisors who are dismissed from their jobs over misconduct allegations easily find fresh employment, and are likely to be repeat offenders.
May 11, 2016
Sen. Warren Tells FINRA Chief to Rein in Broker MisconductSen. Elizabeth Warren wants to know how FINRA is responding to a study finding 1 in 13 advisors have black marks on their BrokerCheck records.