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.
The State of Fiduciary After 1,640 Days: Time for a Reset?
By Knut A. RostadFiduciaries need to apply our risk analysis skills to what could be the most important regulatory action in decades: the SEC's fiduciary rulemaking.
December 09, 2013
FINRA Fines Oppenheimer & Co., Trader for Overcharging on Muni TradesOppenheimer, through its head trader, charged excessive markups on 89 transactions, FINRA says.
December 06, 2013
DOL to be first mover on fiduciary, industry watchers sayLabor Secretary Thomas Perez wants to revisit the DOL redraft "from the ground up," according to Mercer Bullard, founder of Fund Democracy.
December 06, 2013
DOL to be first mover on fiduciary, industry watchers sayLabor Secretary Thomas Perez wants to revisit the DOL redraft "from the ground up," according to Mercer Bullard, founder of Fund Democracy.
December 06, 2013
Gov't signals renewed oversight of MEWAsMore stringent rules included in the PPACA were specifically designed to tighten oversight of multiple employer welfare arrangements.
December 06, 2013
Bogle Hailed as Warrior for the Common InvestorMichael Zeuner and Jim Patrick of Institute for the Fiduciary Standard remain optimistic, tying John Bogle's "investor first" approach to the fiduciary standard.
December 06, 2013
SEC, FINRA Enforcement: UBS, Merrill Fined for Disclosure FailuresMeanwhile, FINRA slapped J.P. Turner for unsuitable ETF sales, and the SEC charged a Miami trader with shorting a Chinese company ahead of its offering.
December 05, 2013
DOL to Be First Mover on Fiduciary, Industry Watchers SayDOLs rule will be a stronger rule, and it will bolster the SECs rule, an AARP lobbyist told ThinkAdvisor.