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 Proposes Pay-to-Play Rules
By Melanie WaddellFINRA is requesting comments on its plan to establish pay-to-play type rules for BDs that closely mirror SEC ones.
November 13, 2014
IRS clarifies IRA-to-IRA rollover guidanceEd Slott says rollovers are a minefield and names the top five traps for advisors.
November 12, 2014
IRS Clarifies IRA-to-IRA Rollover GuidanceMeanwhile, Ed Slott said rollovers were a "minefield" of "rules and traps" and named five areas where advisors commonly slip up.
November 11, 2014
SEC’s Enforcement Division ‘Here to Stay’ in Muni Bond MarketIts been a year of many firsts for enforcement and regulation in the municipal bond market, which has previously received little attention, says SECs Ceresney.
November 11, 2014
Are Changes Coming to FINRA Exams?At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
November 10, 2014
SEC’s White to Provide ‘Clarity’ on Her Fiduciary StanceWhere does SEC Chairwoman Mary Jo White stand on a uniform fiduciary rule? No one knows, but that may soon change.
November 07, 2014
Investors Back More Broker Regulations: FINRA SurveyNearly three-quarters of investors support more regulations to safeguard them from broker misconduct, an online survey from FINRA found.
November 07, 2014
SEC, DOL Enforcement: Ex-Mayor Fined for Misleading Movie Studio InvestorsMeanwhile, two Canadian citizens were charged with conducting an international microcap fraud scheme.