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.
RBC’s Retiring CEO Talks DOL Fiduciary and the Best Business Model
By Ed McCarthyRBC Wealth Management CEO John Taft reflects on where the wealth management field has been and where it's heading.
April 22, 2016
Advisors, Beware! Examiners Are Watching Ever More CloselySEC and states stepping up communications and exams is a double-edged sword for RIAs, says Kelli Haugh of National Compliance Services.
April 22, 2016
Enforcement: Class-Action Plaintiff Recruiter Bilked Retirees, SEC SaysMeanwhile, the SEC barred an advisor for "cherry picking" trades.
April 22, 2016
What Do You Think About DOL Fiduciary Rule? Take a 10-Question PollHow do you feel about the fiduciary rule? 1) Its a new era of unicorns and rainbows; 2) My anger burns like a thousand suns.
April 21, 2016
Here's how to fix all that federal regulationIs Senator Elizabeth Warren right to call regulatory capture a "big deal?
April 21, 2016
Here's how to fix all that federal regulationIs Senator Elizabeth Warren right to call regulatory capture a "big deal?
April 20, 2016
DOL Accused of ‘Legislation by Rulemaking’ on Fiduciary RuleThe DOL is overstepping its bounds because Congress never intended for IRAs to be regulated like ERISA plans, ERISA lawyer Brad Campbell told senators.
April 20, 2016
Obama signs Older Americans Act reauthorizationThe new law, based on S. 192, defines "elder justice" and adds a financial exploitation data provision.