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.
Head for the Hill
By Melanie WaddellLawmakers want to hear from advisors, but they've been mostly quiet on the legislative and regulatory fronts.
October 30, 2015
FINRA CEO Richard Ketchum to Retire in 2016Ketchum's announcement comes as a new fiduciary proposal and crowdfunding rules are in the spotlight.
October 30, 2015
Lawmakers Want Yet Another Comment Period on DOL Fiduciary RuleMeanwhile, investor advocacy group Better Markets warns DOL not to get stuck in an infinite feedback loop of public comments.
October 29, 2015
Advisor Reliance on Compliance Consultants Hangs in the BalanceRobare has morphed from an alleged conflict of interest case into one that calls into question advisors reliance on compliance consultants.
October 29, 2015
Matt Levine on an AIG Breakup: worth a serious look?It's not obvious to Matt Levine that AIG in 2015 is actually politically too big to fail, or that investors think it is.
October 28, 2015
President nominates two SEC Commissioners: Which one signals possible changes for advisors?Will new SEC Commissioners bring change for financial advisors?
October 28, 2015
SEC Chief Takes Stock of JOBS Act and Crowdfunding RulesAs the SEC is poised to approve final rules for equity crowdfunding, Chairwoman Mary Jo White extolled the law's success.
October 28, 2015
SEC Bars Brokers Who Played Favorites to Double Their CommissionsTwo brokers allegedly defrauded customers by using their order information to advise two longtime customers to trade ahead of these orders.