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, FINRA Enforcement: Firm Fined Over Interfund Loans
By Marlene Y. SatterMeanwhile, FINRA censures and fines Thrivent Investment Management for failing to deliver thousands of trade confirmations of mutual fund transactions.
March 17, 2015
SEC Chief White Backs Fiduciary Rule for BrokersUniform fiduciary standard should be codified principles-based and rooted in the current fiduciary standard for investment advisors, Chairwoman Mary Jo White said at SIFMA event.
March 17, 2015
SEC will develop fiduciary duty rule for brokers, White saysU.S. SEC Chair Mary Jo White said the agency will develop stricter rules for brokers, wading into a battle between Wall Street and the White House.
March 17, 2015
SEC will develop fiduciary duty rule for brokers, White saysU.S. SEC Chair Mary Jo White said the agency will develop stricter rules for brokers, wading into a battle between Wall Street and the White House.
March 17, 2015
New FINRA Broker Bonus Rule Out ‘Fairly Soon’: KetchumThe FINRA CEO also told ThinkAdvisor at a SIFMA conference that "CARDS as it exists now is unlikely to move forward."
March 17, 2015
The intersection of property & casualty and employee benefitsIt's all about bridging the gap between these two areas, which presents some challenges for employers and opportunities for advisors.
March 16, 2015
All Eyes on SEC Chief to Move Fiduciary Forward, FINRA’s Ketchum SaysMeanwhile at SIFMA's regulatory conference, the Wall Street lobby released a study challenging the White House's claim that conflicted advice costs investors $17 billion annually.
March 16, 2015
How to shield investment income from the IRSInvestors should consider muni bonds, MLPs, REITs and the IRA/charitable contribution rollover, Andy Friedman writes.