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.
FINRA Mulls Crackdown on Arb Award Deadbeats
By Melanie WaddellFINRA members "are barred" if they dont pay, Ketchum told a Senate panel. However, if firms go broke or leave FINRA, the regulator loses jurisdiction.
March 02, 2016
House Bill to Weaken SEC Enforcement Moves AheadBill would let accused parties opt out of SEC proceedings, leaving the regulator to re-file in court or drop charges, Americans for Financial Reform says.
March 02, 2016
Speaker Ryan Continues to Assail DOL Fiduciary RuleThe congressman's tongue-in-cheek "fi-du-ci-a-ry" definition claims rule would "hurt millions of hardworking Americans," while a report claims it would cost the middle class $80 billion.
March 02, 2016
IRS’s Top 12 Tax Scams for 2016: The ‘Dirty Dozen’Almost as certain as death and taxes is the perennial appearance during tax season of scammers and evaders.
March 02, 2016
If Broker Arbitration Is Good for Investors, Why Is It Mandatory?FINRA and its member broker-dealers inherently have a massive PR problemone that isnt going to go away with some lipstick and a bit of makeup.
March 01, 2016
SEC Has ‘Open Investigations’ of Rule 506(c) OfferingsSecurities and Exchange Commission Chairwoman Mary Jo White says the agency is investigating whether some issuers of private placements properly vetted accredited investors.
March 01, 2016
Lobbyists Gear Up for DOL Fiduciary Rule ReleaseWith the expected release soon of the DOL's rule to change the definition of fiduciary on retirement advice, lobbying groups are positing that legal and legislative remedies may be needed.
March 01, 2016
The SEC's Priorities in a Tricky YearSEC Chair Mary Jo White said 2016 should be a very busy year for the agency in terms of rulemaking.