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.
FINRA’s Ketchum Praises Final DOL Fiduciary Rule—Sort Of
By Melanie WaddellThe final rule is much better than previous proposal in some areas, Ketchum says at Brookings Institution event.
April 14, 2016
DOL fiduciary rule: The good, the bad and the uglyU.S. Chamber of Commerce and ERISA lawyer Brad Campbell detail the positive and negative aspects of the final rule.
April 14, 2016
A Nontraded REIT Product for the Post-DOL Fiduciary EraNew regulations make nontraded REITs less appealing. But CapitalFund Realty has a new way to invest in them without upfront fees.
April 14, 2016
U.S. Regulators Play Down Impact of Regulation on Bond LiquidityTwo U.S. regulators said that tougher rules to strengthen the nations financial system had not impaired the functioning of the bond market.
April 14, 2016
SEC Using More ‘Tactical’ Approach to Exams: Risk ChiefSEC is really focused on anti-money laundering violations, SECs Peter Driscoll says.
April 14, 2016
Indexed Annuities Run Afoul of DOL Fiduciary RuleOne change in the final DOL rule: Like variable annuities, fixed indexed annuities will need a BICE.
April 12, 2016
IRS Needs More Money and Staff to Thwart Hackers: CommissionerA hearing at the Senate Finance Committee exposes problems with IRS cybersecurity operations but bipartisan support for solutions.
April 12, 2016
SEC Would Use Boost in Funds for Cybersecurity, Advisor ExamsMeanwhile, SEC staffers have "provided an outline in dialogue" with the commissioners about the fiduciary rules course, White told senators Tuesday.