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.
Cybersecurity Enforcement Has Begun, Expert Warns
By Melanie WaddellBrokerage firms are a prime target of criminal cybersecurity," says FINRA enforcement official, while SEC says RIAs and BDs must have "reasonable...safeguards in place."
November 03, 2015
FINRA’s CARDS Plan Dead on Table: AxelrodWere going to continue to use data to help inform our exams, FINRAs Susan Axelrod said.
November 03, 2015
Riskalyze Combines 3 Products in Real-Time PlatformOne new feature: In a click, advisors will be able to certify that they have fulfilled all their fiduciary responsibilities.
November 02, 2015
Head for the HillLawmakers want to hear from advisors, but they've been mostly quiet on the legislative and regulatory fronts.
November 02, 2015
SEC Clarifies RIAs’ Cybersecurity ObligationsIn April 2014, the SEC released a Risk Alert indicating it would focus on cybersecurity. Almost 18 months later, many RIAs are still confused.
October 30, 2015
SEC Finally Issues Equity Crowdfunding RulesThe SEC passed by a 3-1 vote on Friday long-awaited final equity crowdfunding rules and proposed to update rules on intrastate crowdfunding.
October 30, 2015
FINRA CEO Richard Ketchum to Retire in 2016Ketchum's announcement comes as a new fiduciary proposal and crowdfunding rules are in the spotlight.
October 30, 2015
Lawmakers Want Yet Another Comment Period on DOL Fiduciary RuleMeanwhile, investor advocacy group Better Markets warns DOL not to get stuck in an infinite feedback loop of public comments.