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.
CFA criticizes 3 industry arguments against proposed DOL fiduciary rule
By Marlene Y. SatterThe Consumer Federation of America has targeted 3 arguments made by the financial industry against the proposed DOL fiduciary standard.
August 13, 2015
SEC use of administrative judges dealt setback: business of lawA U.S. District judge ruled the SEC's appointing of in-house judges is likely unconstitutional.
August 13, 2015
SEC use of administrative judges dealt setback: business of lawA U.S. District judge ruled the SEC's appointing of in-house judges is likely unconstitutional.
August 12, 2015
Perez vows to finalize DOL fiduciary ruleThe new proposal was designed to allow for the flexibility the financial services industry requested, Perez wrote.
August 12, 2015
SEC Must Target Form ADV Changes to Reduce Advisor Costs: IAAIAA tells SEC to focus a 'particularly keen eye' on disproportionate costs to small advisors under its request for more SMA data on Form ADV.
August 11, 2015
Ken Fisher’s 401(k) Unit Says DOL Fiduciary Plan Limits Investment AdviceSmall plans could be hurt; DOL must also make clear some marketing activities are not fiduciary activity, Fisher unit said in comment letter.
August 11, 2015
Guggenheim, the SEC and Milken's ShadowDid the former junk-bond king act as an investment advisor? Regulators seem to have spent two years investigating just that.
August 11, 2015
SEC, FBI Bust Hacking Ring That Stole Earnings Reports Then Sold ThemAn international hacking operation stole pre-release earnings information on companies from newswire services then conducted insider trades.