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.
Advisor Reliance on Compliance Consultants Hangs in the Balance
By Chris StanleyRobare has morphed from an alleged conflict of interest case into one that calls into question advisors reliance on compliance consultants.
October 28, 2015
SEC Chief Takes Stock of JOBS Act and Crowdfunding RulesAs the SEC is poised to approve final rules for equity crowdfunding, Chairwoman Mary Jo White extolled the law's success.
October 28, 2015
SEC Bars Brokers Who Played Favorites to Double Their CommissionsTwo brokers allegedly defrauded customers by using their order information to advise two longtime customers to trade ahead of these orders.
October 27, 2015
President nominates two SEC Commissioners: Which one signals possible changes for advisors?Will new SEC Commissioners bring change for financial advisors?
October 27, 2015
Why the 'f' in fiduciary mattersThe government and the financial services industry may not be as misaligned as we think.
October 27, 2015
DOL wins 2 consent judgmentsThe Department of Labor has emerged victorious in 2 complaints filed against plan sponsors on behalf of participants.
October 27, 2015
Treasury, IRS seek to clarify same-sex marriage tax rulesThe proposed rules provide more clarity on same-sex couples tax treatment in light of two Supreme Court decisions.
October 27, 2015
Bill to Stop DOL Fiduciary Rule Passes HouseThe House passed by a 245-186 vote Rep. Ann Wagners bill to stop DOL from moving forward on its fiduciary rule.