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.
One regulation is painless. A million of them hurt.
By Megan McArdleA small business survey found that taxes and government red tape are the biggest issues that business owners cite as their most important problems.
April 26, 2016
Cetera Launches DOL Fiduciary Rule Survival Kit for AdvisorsA new platform from Cetera Financial Group will help advisors rapidly develop action plans to incorporate the DOLs updated fiduciary standard.
April 26, 2016
FINRA Bars Ex-Citigroup Broker for Money Laundering SchemeJames Van Doren accepted $244,000 from a childhood friend in order to hide it from creditors, FINRA says.
April 25, 2016
The 2016 IA 25 Extended ProfilesRead the May 2016 cover story in Investment Advisor for an introduction to these under-the-radar flyers, and stay tuned to ThinkAdvisor for month-long coverage of the honorees, including extended profiles of each that will be published daily.
April 25, 2016
Are You Conflict-Free?The most appealing position statements in financial services businesses profess a freedom from conflicts of interest.
April 25, 2016
How Wirehouses, Experts View DOL RuleReactions to the release of the fiduciary regulation.
April 25, 2016
Repeat After Me: 12b-1s, Succession Planning, Third-Party AuditsThe SEC's annual investment advisor compliance outreach summit was chock-full of vital information about what the regulator will focus on this year.
April 25, 2016
Finally, Resolution to DOL's Fiduciary Rule RevolutionThe DOL's long-awaited final fiduciary rule ensures that putting clients first is no longer a marketing slogan, it's the law, Labor Secretary Thomas Perez told reporters in April.