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.
Slim chance to stop DOL fiduciary rule, but brokers must keep fighting: Rep. Mulvaney
By Melanie WaddellThe only hope of reversal is tied to the next administration, the House Financial Services Committee member says.
November 19, 2015
SEC Hits Sands Brothers With $1M Fine for Repeat Violation of Custody RuleThe firm paid a $60,000 fine for custody rule violations five years ago. There's no place for recidivism in the securities markets, the SEC says.
November 18, 2015
SEC Fiduciary Rule to Include ‘Deep Economic Analysis’: Chief WhiteThe SECs uniform fiduciary proposal for brokers and advisors will include plenty of research on the rules impact on retail investors.
November 18, 2015
Are Brokers Really as Anti-DOL Fiduciary as Their BDs?Brokers are the men and women on the front lines of where a DOL fiduciary rule would be played out. What's their perspective?
November 17, 2015
Rep Rallies Small Businesses Behind Alternative to DOL Fiduciary RuleRep. Peter Roskam, R-Ill., told a Chamber of Commerce gathering that the DOL intends to get the private sector out of the retirement space.
November 17, 2015
Advisors Take Note: Compliance Officers Are WatchingYet only 51% of compliance officers in a Schwab survey said they were very confident that their monitoring policies were effective.
November 16, 2015
SEC’s Aguilar to Leave by Year EndSEC Commissioner Luis Aguilar announced that he will be leaving his post by the end of December.
November 16, 2015
Disability claimants may get quick access to courtsEBSA wants to base new disability appeal standards on PPACA appeal standards.