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.
Cybersecurity: A Focus for Regulators and Advisors in 2016
By Commonwealth Financial NetworkTodays independent financial advisors wear many hats, but theres another responsibility that has become critical in recent yearsthat of identity protector.
May 12, 2016
6 DOL Fiduciary Tasks to Tackle Before First DeadlineFinancial advisory firms have a lot to do between now and April 10, 2017, when the DOLs fiduciary rule becomes applicable.
May 12, 2016
Benefits vendor’s flub leads to data breach at GoogleGoogle employee data was compromised by a third-party benefits provider mistakenly sending an email to an unintended source.
May 11, 2016
Senators raise concerns about advisor oversightFINRA says advisors who are dismissed from their jobs over misconduct allegations easily find fresh employment, and are likely to be repeat offenders.
May 11, 2016
Sen. Warren Tells FINRA Chief to Rein in Broker MisconductSen. Elizabeth Warren wants to know how FINRA is responding to a study finding 1 in 13 advisors have black marks on their BrokerCheck records.
May 11, 2016
SEC to Discuss Accredited Investor Definition, Reg D OfferingsThe SEC Advisory Committee on Small and Emerging Companies will meet May 18 to discuss these issues.
May 10, 2016
DOL to Advisors: Got Fiduciary Rule Questions? Ask UsDOL will issue guidance on a rolling basis and focus on aiding compliance, not finding litigation targets, one of the rules architects said.
May 09, 2016
4 Regulators Bringing a New Era of Advice: The 2016 IA 25 SlideshowThe world in which financial advisors do business has become increasingly regulated.