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.
Firms Must Report CEO-to-Worker Pay Ratio Under New SEC Rule
By Melanie WaddellThe controversial, contentious rule garnered a whopping 287,400 comment letters, SEC Chairwoman White said.
August 04, 2015
FINRA BrokerCheck Plan Gets More FlakThe IBD lobby wants clarity for indie reps, while NASAA wants the rule to include email signatures.
August 04, 2015
Time for Wall Street to Show Investors Their Trust MattersNext weeks DOL hearings will provide firms with the public forum to demonstrate their support for a workable best interest standard.
August 03, 2015
Next Up for DOL Fiduciary Redraft: HearingsNow that the comment period on the DOL's fiduciary redraft has ended, opponents and those in favor of the rulemaking will participate in hearings regarding the plan the week of Aug. 10.
August 03, 2015
SEC Proposes Significant Changes to Form ADV Part 1Just when you thought it was safe to go outdoors, the Securities and Exchange Commission strikes again.
August 03, 2015
Pimco Gets Wells Notice Over Total Return ETF ValuationsRegulators are looking at positions in mortgage-backed securities, performance disclosures and other matters.
August 03, 2015
DOL fiduciary rule opponents shift strategyCongressional members are calling on the DOL to re-propose a new fiduciary regulation.
August 03, 2015
DOL fiduciary rule opponents shift strategyCongressional members are calling on the DOL to re-propose a new fiduciary regulation.