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.
FSI Endorses FINRA as SRO for Investment Advisors
By James J. GreenThe association of independent broker-dealers recommended that the SEC choose FINRA as the SRO for RIAs.
February 01, 2011
FSI OneVoice 2011: CEO Brown, Chairman Dwyer Discuss Organization’s New DirectionFSI President and CEO Dale Brown and Chairman Bill Dwyer met with reporters Tuesday morning to discuss the organization's 2011 initiatives, which include retirement planning outreach and small business help for advisors.
February 01, 2011
Top Wealth Managers Will See Changes in Regulation in 2011For RIA firms, new regulation will play a large role in determining future direction.
January 31, 2011
Shut up and listen: Understanding buying signalsSalespeople often talk themselves in and out of a sale. Learn to spot the signals that indicate you're making progress ... and be quiet.
January 31, 2011
Group Hug: Brokerage Leaders BofA, LPL Embrace Fiduciary StandardBank of America Merrill Lynch and LPL state support for extending the fiduciary standard to brokers.
January 31, 2011
Harmonization of Advisor, Broker Rules Will Cement Need for SROA consensus among industry officials is emerging after the release of the SEC reports on fiduciary duty and the need for an SRO for advisors: that the eventual harmonization of advisor and broker regulations signals the likelihood that a common SRO will be created to oversee advisors and brokers.
January 28, 2011
More Hedge Fund Investors? SEC Floats New Accredited Investor RuleEliminates ‘primary residence’ from an investor’s net worth. Comment by March 11.
January 28, 2011
SEC SRO Study Projects High Growth Rate for Large RIAsNumbers of RIAs with more than $100 million in AUM are expected to increase, estimates in the SEC's SRO Study show.