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.
SEC Enforcement: Advisor Pushed Risky Investments in Firms He Owned
By Marlene Y. SatterMeanwhile, the SEC fined 22 underwriting firms for muni bond fraud.
September 30, 2015
Global regulations: The vise on agents and advisors tightensRegulators worldwide are launching an assault on compensation arrangements that conflict with their objectives.
September 30, 2015
Global regulations: The vise on agents and advisors tightensRegulators worldwide are launching an assault on compensation arrangements that conflict with their objectives.
September 29, 2015
FINRA, SEC Wallop UBS Puerto Rico With $33.5M in Penalties Over Closed-End FundsCompany failed to ensure suitability for clients of Puerto Rican CEFs that were highly invested in Puerto Rican municipal bonds; branch manager and rep charged.
September 29, 2015
CFP Board, FPA agree on likely timetable for DOL fiduciary ruleThe final DOL fiduciary rule, regardless of its exact shape, will likely be implemented next year, says Marilyn Mohrman-Gillis of the CFP Board.
September 29, 2015
CFP Board, FPA agree on likely timetable for DOL fiduciary ruleThe final DOL fiduciary rule, regardless of its exact shape, will likely be implemented next year, says Marilyn Mohrman-Gillis of the CFP Board.
September 28, 2015
No Rules Yet, but Prepare NowRegulatory issues that aren't getting the attention they need, argues MarketCounsel CEO Brian Hamburger.
September 28, 2015
For Compliant Advisors, Known (and Unknowable) UnknownsThe SEC, FINRA, DOL regulations and oversight come from all sides, and anticipating what's compliant today but won't be tomorrow is a tricky game.