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.
Advisors, Beware! Examiners Are Watching Ever More Closely
By James J. GreenSEC and states stepping up communications and exams is a double-edged sword for RIAs, says Kelli Haugh of National Compliance Services.
April 21, 2016
Here's how to fix all that federal regulationIs Senator Elizabeth Warren right to call regulatory capture a "big deal?
April 21, 2016
Here's how to fix all that federal regulationIs Senator Elizabeth Warren right to call regulatory capture a "big deal?
April 20, 2016
DOL Accused of ‘Legislation by Rulemaking’ on Fiduciary RuleThe DOL is overstepping its bounds because Congress never intended for IRAs to be regulated like ERISA plans, ERISA lawyer Brad Campbell told senators.
April 20, 2016
Obama signs Older Americans Act reauthorizationThe new law, based on S. 192, defines "elder justice" and adds a financial exploitation data provision.
April 19, 2016
DOL fiduciary rule: Great for lawyers, but what about advisors?At the NAPA 401(k) Summit, head Brian Graff focused on the impact of the DOL fiduciary rule on advisors.
April 19, 2016
DOL fiduciary rule: Great for lawyers, but what about advisors?At the NAPA 401(k) Summit, head Brian Graff focused on the impact of the DOL fiduciary rule on advisors.
April 19, 2016
SEC to Launch 12b-1 Fee Share Class InitiativeThe agency is also knee-deep in assessing the scope of potential third-party advisor audits, SEC officials said.