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.
Speaker Ryan Continues to Assail DOL Fiduciary Rule
By James J. GreenThe 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 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.
March 01, 2016
DOL fiduciary rule will force brokers out, ex-SEC IM Director saysNorm Champ also says the downsides of third-party advisor exams "far outweigh the upside."
March 01, 2016
DOL fiduciary rule will force brokers out, ex-SEC IM Director saysNorm Champ also says the downsides of third-party advisor exams "far outweigh the upside."
February 29, 2016
Does DOL fiduciary rule comply with Obama executive order?As the DOL's proposed fiduciary rule enters the final stages of review, the ICI is calling for a meeting regarding the DOL's regulatory impact.
February 29, 2016
Does DOL fiduciary rule comply with Obama executive order?As the DOL's proposed fiduciary rule enters the final stages of review, the ICI is calling for a meeting regarding the DOL's regulatory impact.