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.
LPL Cuts Prices, Account Minimums Ahead of DOL Fiduciary Rule
By Janet LevauxThe independent broker-dealer also plans to offer a fund-only brokerage IRA to meet the new fiduciary standard.
March 16, 2016
FINRA Fines Raymond James for Violating Customer PrivacyThe broker-dealer will pay $500,000 over the use of client data by its transition staff.
March 16, 2016
Obama nominates Merrick Garland to Supreme CourtI chose a serious man and exemplary judge, Obama said at ceremony in Rose Garden.
March 16, 2016
Obama nominates Merrick Garland to Supreme CourtI chose a serious man and exemplary judge, Obama said at ceremony in Rose Garden.
March 16, 2016
Obama Nominates Merrick Garland to Supreme CourtI chose a serious man and exemplary judge, Obama said at ceremony in Rose Garden.
March 15, 2016
Senators Grill SEC Commissioner NomineesThe confirmation hearing for SEC commissioner nominees Hester Peirce and Lisa Fairfax wasn't exactly a lovefest.
March 15, 2016
SEC Fines Muni Advisor in Dodd-Frank Fiduciary CaseThe SEC fined a Prairie Village, Kansas-based firm for failing to disclose conflicts to a municipal client.
March 15, 2016
DOL Fiduciary Rule Will Change Financial Advice, According to a FiduciaryBilly Lanter, fiduciary investment advisor at Unified Trust Co., says hes worried about a "watered down" fiduciary standard.