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.
What Americans really think about tax planning
By Lynette GilMake sure to read this article while sitting down: Some of these responses are not for the faint of heart.
April 01, 2016
DOL Fiduciary Rule Likely Coming WednesdayLawyer Steve Saxon hopes DOL will talk to the industry soon so that folks can get guidance on some critical questions.
April 01, 2016
Enforcement: Fund Manager Paid Barred Nephew’s Bills With Investor Money, SEC SaysIn another action, a former market analyst and TV news commentator agreed to settle charges that he and his company fraudulently promoted a penny stock.
March 31, 2016
Sen. Warren Calls for SEC Inquiry on Firms' DOL Fiduciary Double TalkFinancial companies may have violated securities laws with contradictory statements to lawmakers and investors, Sen. Elizabeth Warren says.
March 30, 2016
CFP Board’s Mandatory Arb Plan: Significantly Better Than FINRA’sThe Board's timing and use of mandatory arbitration as the solution virtually cry out for comparisons to FINRAs controversial arbitration program.
March 29, 2016
DOL rule won't insist on flat per-participant recordkeeping feesNo one can predict how the fiduciary rule will affect the recordkeeping market.
March 29, 2016
DOL rule won't insist on flat per-participant recordkeeping feesNo one can predict how the fiduciary rule will affect the recordkeeping market.
March 28, 2016
The Mysterious Case of the Unpaid Arbitration AwardsToo many investors win securities arbitration awards and never see a penny, Bob Clark writes.