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.
4 Useful Hacks for the SEC’s IAPD Disclosure Site
By Chris StanleyThese IAPD tips can be as valuable to you and your firm as they are to investors checking you out.
June 29, 2016
American Equity CEO's lament for 50 percent share plunge: oil, Brexit and regulationJohn Matovina said the market has overreacted to uncertainty created by the DOL fiduciary rule.
June 29, 2016
American Equity CEO's lament for 50 percent share plunge: oil, Brexit and regulationJohn Matovina said the market has overreacted to uncertainty created by the DOL fiduciary rule.
June 29, 2016
FINRA Fines Deutsche Bank $6M for Bad, Late Trading DataThe failures in the firm's blue sheet data systems involved over 1 million trades from 2008 to 2015.
June 27, 2016
3 DOL Fiduciary Cases in Texas to Be Consolidated; Parties Want October ResolutionA district court judge in Texas has agreed to allow three lawsuits against the DOL fiduciary rule to be consolidated.
June 27, 2016
SIFMA Roiled by Split Over DOL Fiduciary Suit by Wirehouses, Smaller FirmsLarge broker-dealers favored compliance over fighting DOL; Wells Fargo, Morgan Stanley said to have opposed court battle.
June 24, 2016
Enforcement: Ex-Jet Mark Sanchez, 2 MLB Pitchers Bilked by Advisor, SEC SaysIn another action, the SEC froze the assets of a U.K.-based trader accused of hacking into the online brokerage accounts of U.S. investors.
June 23, 2016
House override vote to kill DOL fiduciary rule failsAs expected, the House of Representatives failed late Wednesday night to override a presidential veto on a resolution to nullify the Department of Labors fiduciary rule.