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.
SEC backs rule forcing companies to compare CEO and worker pay
By Dave MichaelsThe SEC approved a rule requiring companies to reveal the pay gap between the CEO and their typical worker.
August 05, 2015
Firms Must Report CEO-to-Worker Pay Ratio Under New SEC RuleThe controversial, contentious rule garnered a whopping 287,400 comment letters, SEC Chairwoman White said.
August 05, 2015
Advisors: What ethical personality type are you?Advisors face dilemmas on a regular basis and how they behave in the workplace might possibly carry over to how they handle clients. Where do you fit in?
August 04, 2015
Big Jump in Advisory Firms in 2015The number of SEC-registered advisory firms grew more than 5% since 2014, the largest increase in four years, a report from IAA and NRS says.
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.