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.
Clock is ticking on DOL fiduciary compliance
By Melanie WaddellAdvisors shouldnt dilly-dally in complying with the Department of Labors new rule, says prominent fiduciary attorney Fred Reish.
May 30, 2016
Lessons for Advisors From Indecipherable DOL Fiduciary RuleA free Microsoft tool can make your own letters, blog posts and proposals understandable, unlike the DOL's fiduciary rule.
May 29, 2016
Following the yin and yang of ethics and complianceBest Practice: To become a top-tier financial professional, you must be highly ethical as well as highly compliant in terms of adhering to the law.
May 27, 2016
Enforcement: Illinois Mayor Fined for Misusing Hotel BondsThe SEC also froze the assets of a trader who faked filings and then made $425,000.
May 26, 2016
5 Things to Know About Selling Annuities Under the DOL Fiduciary RuleFrom rules on proprietary products to how to determine whether an annuity is in a client's best interest, here are five things advisors should know.
May 26, 2016
At Wall Street Parties, the Feds Are Now on the ProwlThe SEC has been moving in on the Wall Street conference circuit in hopes of getting a better handle on whos up to no good.
May 25, 2016
Ready, Set, CrowdfundInvestors of any wealth level can now invest in startup ventures, ushering in what industry officials say is a watershed moment that democratizes angel investing.
May 25, 2016
Cybersecurity Is SEC's Top Enforcement Focus, Officials SaySEC officials addressed enforcement priorities at the agency, including cybersecurity, insider trading and financial reporting.