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 Enforcement: Fake Brokers Charged With Taking $5M From Clients, Going to Prada
By Marlene Y. SatterIn another action, two former brokers were charged with taking client money and hiding their disciplinary histories.
July 28, 2016
7 secrets DOL may squeeze out of health plan sponsorsThe proposed Schedule J could show outsiders how an employer is doing.
July 28, 2016
DOL, SEC Fee Scrutiny Sparks Shift to Passive InvestingUse of passively managed funds and ETFs at indie BDs and wirehouses will continue to accelerate, says Broadridge.
July 26, 2016
Justice Dept. Tallies Cost to IRA Investors of No DOL Fiduciary RuleLawsuits against the DOL's rule moved forward, but the DOJ defended it in a separate court.
July 26, 2016
SEC Proposes New Rule to Require Business Continuity PlansUnder the rule, it would be unlawful for an RIA to provide investment advice if it does not adopt a BCP and review it annually.
July 26, 2016
In Pleas to SEC, Businesses Slam Sustainability DisclosuresBusinesses have pushed back against the SEC's efforts to make them disclose their environmental impact and stances on public policy matters.
July 25, 2016
Compliance: a differentiator and a profit centerCompliance can be useful in both prospecting and retaining clients. Find out more about building an in-house practice or going it alone.
July 24, 2016
U.S. Chamber: DOL overstepped its authority with fiduciary ruleAn investor attorneys' group has challenged NAFA's lawsuit claim that the DOL lacks the authority to regulate IRAs.