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.
Ken Fisher Is Right About Demise of RIAs...and Wrong
By Ron A. Rhoades, J.D., CFPWe can only hope that Mr. Fishers vision does not occur. Yet I foresee that fee-only and other true fiduciary advisors will still exist.
November 25, 2013
Get Ready for an Aggressive SEC in the New YearI have never been political in this column, but the time has arrived.
November 25, 2013
Will the SEC Create Two Kinds of Fiduciaries?The debate rages on about what Dodd-Frank said the SEC could or could not do in writing a fiduciary rule for brokers.
November 22, 2013
SEC Investor Advisory Committee Approves Fiduciary, User-Fee PlansRecommendation on how brokers should be put under a fiduciary mandate sailed through the full committee Friday, but members voiced concern about user-fee plan.
November 21, 2013
Get Ready for Your Annual ReviewAs the weather turns colder, turn up your focus on compliance requirements and your Form ADV.
November 21, 2013
SEC, FINRA Enforcement: Advisor to NFL, NBA Players Barred Amid Fraud CaseFINRA banned a former advisor to athletes, like Brandon Knight of the Detroit Pistons, after he skipped a hearing in an $18 million fraud case.
November 20, 2013
Insurance regulation: 5 things to watch in 2014Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
November 19, 2013
2013 federal regulation: A recapThe insurance industry enters 2014 with even less certainty than it did 2013. Here's why.