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.
CFP Board’s Mandatory Arb Plan: Significantly Better Than FINRA’s
By Bob ClarkThe Board's timing and use of mandatory arbitration as the solution virtually cry out for comparisons to FINRAs controversial arbitration program.
March 28, 2016
The Mysterious Case of the Unpaid Arbitration AwardsToo many investors win securities arbitration awards and never see a penny, Bob Clark writes.
March 28, 2016
Regulators’ Secret Weapon Against CyberattackersFINRA and the SEC continue their concerted efforts to ensure financial firms compliance with cybersecurity regulations.
March 28, 2016
DOL Chief Perez Prepared to Explain Final Fiduciary RuleAs you read this column, youre most likely also poring over the DOL's rule to redefine the definition of fiduciary under ERISA.
March 28, 2016
Senators Grill SEC Nominees Over DOL Fiduciary Rule, Political ContributionsIf confirmed by the Senate, the two new SEC commissioners will be instrumental in helping the agency determine the outcome of a potential uniform fiduciary rule for brokers.
March 28, 2016
On eve of fiduciary rule, Financial Engines sees opportunityFor both supporters and opponents of DOLs fiduciary rule, determining legitimate circumstances will be the challenge going forward.
March 28, 2016
On eve of fiduciary rule, Financial Engines sees opportunityFor both supporters and opponents of DOLs fiduciary rule, determining legitimate circumstances will be the challenge going forward.
March 28, 2016
Technology can help advisors deal with impending DOL fiduciary ruleWith the proposed new rule the annuities market will experience the most tectonic shift of any other market.