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.
House measure to slow fiduciary rulemaking poses little threat
By Melanie WaddellA draft requiring SEC, DOL to work together on a rule is merely a reminder of the importance of a cost-benefit analysis, says Thompson of fi360.
May 23, 2013
House Measure to Slow Fiduciary Rulemaking Poses Little Threat: Industry OfficialsA discussion draft introduced Thursday designed to stymie efforts by the SEC and DOL to craft fiduciary rules will prove to be of little consequence, fi360's Duane Thompson and other experts said.
May 23, 2013
Benefits educators prepare for a new worldScrambling to track ACA changes? What if you had to create the ACA change seminar?
May 23, 2013
Benefits educators prepare for a new worldScrambling to track ACA changes? What if you had to create the ACA change seminar?
May 23, 2013
SEC, FINRA Enforcement: Father, Son Cherry-Picking Scheme; South Miami in Muni-Bond FraudRecent enforcement actions include charges against a father and son for making undeclared trades and then cherry-picking the profitable ones, and charges against the city of South Miami for defrauding investors on muni bonds.
May 22, 2013
William Galvin: The 2013 IA 25 Extended ProfileSince taking on an additional 139 advisors with $6.6 billion in assets under the Dodd-Frank switch, Massachusetts has been able to do what the Securities and Exchange Commission hasnt.
May 22, 2013
FINRA to SEC: Act on fiduciary, or we’ll make our own disclosure rulesFINRA CEO Richard Ketchum called on the SEC to act quickly to put brokers and advisors under a uniform fiduciary standard.
May 22, 2013
FINRA to SEC: Act on fiduciary, or we’ll make our own disclosure rulesFINRA CEO Richard Ketchum called on the SEC to act quickly to put brokers and advisors under a uniform fiduciary standard.