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.
Heightened mortality, DOL rule take toll on life/annuity sales
By Kristen BeckmanIt is not yet clear if recent heightened mortality is a long-term trend or a short-term anomaly.
July 19, 2016
SEC Talks Crowdfunding, Grapples With Accredited Investor RulesMore than 60 offerings have been held since the crowdfunding rule took effect in May, said SEC chief Mary Jo White.
July 19, 2016
Don’t Waste the ‘Summer of DOL’ as Fiduciary Compliance Clock TicksFrom analyzing your client base to tech updates, there's a lot to get done before April, John Gebaur of NRS says.
July 19, 2016
SEC Proposes Making Brokers Reveal Where Client Orders GoRegulator seeks comment on ramped-up broker disclosure rules; institutions would get more information on how orders filled.
July 18, 2016
DOL Fiduciary Guidance Coming SoonAt an IMCA conference, DOL's Timothy Hauser answered some advisors' questions about the rule and said more guidance was coming "fairly shortly."
July 15, 2016
Vanguard’s Brennan Elected New FINRA Board ChairmanJack Brennan and new FINRA CEO Robert Cook will replace Richard Ketchum on Aug. 15
July 15, 2016
Enforcement: Citigroup Fined $7M Over Incomplete Blue SheetsIn another action, Goldman Sachs was censured by FINRA and fined in two separate cases.
July 14, 2016
SEC Charges Advisor With Overcharging in Wrap Fee ProgramAs subadvisor, RiverFront's "trade away" volume caused clients to incur millions in transaction costs, the SEC said.