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.
Puerto Rico's Debt Deal Goes to Supreme Court
By Greg Stohr, Michelle KaskeHigh court likely to rule by June in battle with bondholders.
December 03, 2015
SIFMA Outlines 2016 PrioritiesSIFMA CEO and President Ken Bentsen listed the trade associations major initiatives, starting with cybersecurity.
December 03, 2015
Email Privacy Act Could Stifle SEC Investigations: Enforcement ChiefA bill under consideration would block the SEC from obtaining critical evidence from Internet service providers, enforcement chief Andrew Ceresney warned a House panel.
December 02, 2015
Lawmakers Building Support for DOL Fiduciary Rule AlternativeA DOL spokesman says lawmakers are "undermining public confidence in the rulemaking process" by working on bill to block the rule.
December 02, 2015
Fed’s Lockhart says rate liftoff case is ‘compelling’He says the economy seems to be closing in on full employment.
December 01, 2015
SEC Agrees to FINRA’s BrokerCheck Change on Posting FiringsStarting Dec. 12, the 15-day delay in the release of disclosure information filed on Form U5 will be reduced to three business days.
November 30, 2015
DOL Fiduciary Rule Nears the Finish LineAs 2015 drew to a close, intense debate continued regarding the DOL's planned release in the first half of 2016 of its rule to amend the definition of fiduciary under ERISA.
November 24, 2015
A legal requirement that is also good businessHIPAA has been around since 1996, but the rise of mobile has caused data security to take on a new level of urgency for advisors.