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.
‘Befuddled’ Clients, Compliance Headaches Worry Advisors in Wake of DOL Fiduciary Rule
By Danielle AndrusA panel at the Envestnet Advisor Summit on Thursday addressed the concerns advisors have with the DOLs conflict of interest rule.
May 19, 2016
Pro Golfer Phil Mickelson to Repay $900,000 Made on Insider InfoMickelson, a relief defendant not accused of securities law violations, will repay the money he made by trading on a tip from a sports gambler.
May 19, 2016
SEC Has Its Eye on Small-Biz Capital Raising, Chief White SaysSEC is monitoring how the three capital raising measures the agency put into effect under the JOBS Act are working, White says.
May 19, 2016
What Advisors Really Think of DOL Fiduciary Rule: ThinkAdvisor PollReaders weigh in on matters like whether DOL should be sued (hint: Perez, beware of pitchforks) and what products would be affected.
May 18, 2016
FINRA Fines Raymond James $17M Over ‘Widespread’ AML Failures"Raymond James had significant systemic AML failures over an extended period of time," said FINRA's enforcement chief.
May 18, 2016
For IRA Investors, a Warning on DOL Fiduciary RuleThe DOL's conflict of interest rule didn't quite extend fiduciary protection all the way to IRAs, Bob Clark writes.
May 18, 2016
14 questions (and answers) about the DOL fiduciary ruleA panel of industry experts delves into the impact of the rule from the legal, distribution and manufacturer perspectives.
May 16, 2016
SEC’s Equity Crowdfunding Rules Finally Kick InAll investors, no matter their wealth, can start investing in startups as a result of the SECs equity crowdfunding rules, which took effect Monday.