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.
The DOL Rule(s): The 2016 Broker-Dealer Presidents Poll
By James J. Green, Liana RobertsIBDs' latest regulatory challenge is its biggest business challenge. That's not our editorial judgment it's how the leaders of 58 independent broker-dealers feel.
May 24, 2016
Will the DOL rule be catastrophic for advisors?Will the DOL fiduciary rule be a catastrophic event for the industry? Time will tell what the long-term impacts will be.
May 24, 2016
Will the DOL rule be catastrophic for advisors?Will the DOL fiduciary rule be a catastrophic event for the industry? Time will tell what the long-term impacts will be.
May 24, 2016
DOL’s Hauser Warns BDs to Prep for Fiduciary Deadline; AARP to Deploy ‘Mystery Shoppers’Hauser says BDs should be "nervous" if they aren't ready by April; meanwhile, AARP plans to assemble mystery shoppers to see if advisors are complying.
May 24, 2016
FINRA to Split Series 7 Exam; Readies Elder Fraud RuleThe exam will have two levels, basic and specialized. Also, FINRA wants to let brokers keep their licenses longer if they leave the business.
May 23, 2016
Finke: DOL Rule May ‘Drop Bomb’ on Asset Management IndustryAnnuities, nontraded REITs and even mutual funds face a transformed environment under the DOL fiduciary rule, Michael Finke writes.
May 23, 2016
FINRA’s Ketchum Warns on Dangers of Poor Firm CultureThe FINRA CEO also says increased BrokerCheck disclosure rules and new expungement rules could be coming in a month or two.
May 20, 2016
The SEC’s ‘Mickelson Treatment’: Bring No Charges, Collect $1 MillionNaming pro golfer Phil Mickelson as a relief defendant in an insider trading case may open the door to future complications in other cases.