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.
BDs’ Cybersecurity Stronger Than Advisors’: SEC, FINRA Reports
By Melanie WaddellBoth the SEC and FINRA will "likely bring enforcement actions if firms policies and procedures are found to be deficient, warns Sutherland's Brian Rubin.
February 02, 2015
Is a ‘Presence Exam’ in Your Future, RIA?SEC exam chief Andrew Bowden said at a January hedge fund conference in New York that the agency's Office of Compliance Inspections and Examinations will use the presence exams that it used to audit newly registered private fund advisors on never-examined advisors in 2015.
February 02, 2015
Don’t Be Complacent About ComplianceThis year is the second full year of a new, aggressive SEC regulatory regime. Has the majority of the advisory community taken heed? Unfortunately not.
February 02, 2015
SEC Would Hire 431 Under Obama’s 2016 BudgetThe new hires would come in addition to the 105 examiners the SEC plans to hire in fiscal 2015.
February 02, 2015
10 common deferred compensation plan errors and how to fix themHere are ten types of errors commonly seen deferred compensation plan administration and the corrections that are needed to fix them.
January 30, 2015
5 things you want in a great blogAs a marketing tool, blogging has much to recommend it. And great ones have these 5 things in common.
January 30, 2015
How to Survive Today’s SEC Exams: GiachettiOne major issue: on cybersecurity, the SEC is putting the onus on you, the noted securities lawyer warned RIAs.
January 30, 2015
Side-Stepping SEC and DOL, 11 Fiduciary Best Practices for Advisors Are ProposedInstitute for the Fiduciary Standard's Knut Rostad says these practices can be used by advisors to counteract D.C. gridlock on fiduciary and investor misperceptions.