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.
6 Steps to Complying With SEC Email Regulations
By Chris StanleyHiring a vendor to capture and archive emails within your advisory firm is the beginning, not the end, of complying with SEC rules and regs.
August 25, 2014
What's Next for the Fiduciary Standard?While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
August 22, 2014
HHS proposes birth control mandate compromiseCritics say sponsors' plans would still be a gateway to drugs and services the sponsors oppose.
August 22, 2014
HHS proposes birth control mandate compromiseCritics say sponsors' plans would still be a gateway to drugs and services the sponsors oppose.
August 22, 2014
DC Update on SEC User Fees, an SRO and Third-Party ExamsIt will be difficult to enact any legislation in this Congress, but I predict that the RIA user fee bill will gain co-sponsors, including Republicans.
August 22, 2014
Enforcement Roundup: Standard Chartered to Pay $300M, Cut ServicesIn another enforcement action, the SEC charged a former bank exec and his friend with insider trading.
August 20, 2014
What Elizabeth Warren Fails to Understand About FinanceLaw professor Todd Zywicki says the primary victims of well-intentioned but paternalistic bureaucrats are the very people they are meant to protect, especially lower-income Americans.
August 20, 2014
SEC Money-Market Plan Could Cause ‘Pre-emptive Runs’: NY FedThe Federal Reserve Bank of New York and the SEC arent exactly seeing eye to eye on controlling risk in money market funds.