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.
Rep. Polis at center of DOL fiduciary storm
By Nick ThorntonAdvocates of the DOL fiduciary rule say requiring a new comment period is misguided and would kill the rule.
December 08, 2015
5 not-so-bold regulatory predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for billable hours but not for bottom lines.
December 08, 2015
5 not-so-bold regulatory predictions for 2016The sheer volume of complicated rulemaking that is pouring out of Washington bodes well for billable hours but not for bottom lines.
December 08, 2015
Ethics down under: Why U.S. should take note of Aussie regulation pushWhat can the U.S. financial community learn from this Aussie endeavor?
December 08, 2015
Ex-SEC Commish: Third-Party Advisor Exams Coming, so Speak Up NowIf advisors want to be a part of the discussion on the SEC's third-party exam rule, now's the time,Troy Paredes said at MarketCounsels summit.
December 07, 2015
Spending Bill Rider Would Delay DOL Fiduciary Rule by Adding Comment Period"Vigorously advocating for a rider on the year-end spending bill ... may sound harmless, but it is not," the Financial Planning Coalition said.
December 07, 2015
Bullard says it’s time for Fed to begin raising interest ratesYellen told members of Congress that an increase is a "live option."
December 04, 2015
SEC to Consider Rule to Limit Funds' Use of DerivativesThe commission will look at possible rule on the use of derivatives by registered investment companies and BDCs.