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.
Clock Ticking on Advisors' Compliance With SEC Pay-to-Play Rules
By Melanie WaddellNow that FINRA, MSRB have filed pay-to-play rules with SEC, compliance with third-party solicitor provision at hand.
December 29, 2015
IRS extends some PPACA reporting requirements for employersEmployers will have two extra months to get 1095-C's to current and former employees.
December 29, 2015
FINRA Fines Barclays Nearly $14M Over Mutual Fund FailuresBarclays Capital was charged with suitability violations, including 'switching' and breakpoint discount violations.
December 28, 2015
New Year brings regulatory roulette for advisors, BDsNew rules and new faces add to the uncertainty of which new compliance challenges will take hold in 2016.
December 28, 2015
Before DOL Fiduciary Rule Change, Time to Act on Fees Is NowIf you're not fee-based, here's your action plan before DOL's rule takes hold, according to marketing expert Bill Good.
December 28, 2015
How DOL Fiduciary Will Change the Industry, and CareersWhatever its final shape, the redefinition of fiduciary under ERISA will affect business models, compliance costs and possibly career choices.
December 28, 2015
New Year Brings New Regulatory, Political ChallengesKarl Rove predicted the likely presidential candidates, but other 2016 issues debated at MarketCounsel were third-party RIA exams and DOL fiduciary.
December 28, 2015
DOL Fiduciary Survives Omnibus ThreatYear-end spending bill did not include riders to stop DOL fiduciary rule, but Rep. Ann Wagner vows to defeat the rule in the new year.