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.
FINRA Readies Changes to Communications Rules
By Melanie WaddellFINRA is also taking comments until mid-May on member application rules.
April 10, 2015
SEC chief: fiduciary, third-party audit rules to advance this yearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
April 10, 2015
SEC chief: fiduciary, third-party audit rules to advance this yearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
April 09, 2015
SEC to RIAs: Beware the Ides of ‘May’Recent SEC enforcement actions should prompt advisors to review their Form ADV for a potentially dangerous wordmayrelating to compensation and conflicts of interest.
April 09, 2015
SEC Panel: 2 Big Problems With Advisor Background ChecksInvestors dont check advisor and rep backgrounds, and the data itself can be problematic.
April 09, 2015
Fin Tech Innovations More Trusted Than Industry as a Whole: EdelmanThe financial services industry is the only example where an industry is more trusted to implement a specific innovation than it is as an industry as a whole.
April 09, 2015
SEC Probes Whether 12b-1 Fees Are Used ProperlySEC is examining whether the rules for the fees and their disclosure are being followed and what funds are paying intermediaries for.
April 09, 2015
SEC Chief: Fiduciary, Third-Party Audit Rules to Advance This YearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.