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.
Finseca CEO Pans New DOL Fiduciary Regs, Sketches Litigation Path
By Allison BellLabor's attempts to address the insurance industry's concerns were merely "cosmetic," Marc Cadin says.
April 24, 2024
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOLOfficials estimate the industrywide revenue loss could be as much as $530 million per year.
April 24, 2024
Ed Slott: Final DOL Fiduciary Rule Goes 'All-in' on RolloversAdvisors now need to understand "all available options when retirement funds are leaving company plans," Slott tells ThinkAdvisor.
April 23, 2024
FTC Bans Worker Non-Compete RulesExisting non-competes for executives earning over $151,164 a year in a "policy making position" can stay in place.
April 23, 2024
The 2024 DOL Fiduciary Rule: A TimelineHere's how the 2024 fiduciary rule came into existence.
April 23, 2024
DOL Changes Fiduciary Rule Advice Definition ScopeThe new "investment advice fiduciary" definition excludes sales pitches and investment education.
April 23, 2024
10 States With the Most Income Tax WriteoffsTaxpayers with expenses like mortgage interest can often write off far more than the standard deduction.
April 23, 2024
DOL Releases Final Fiduciary RuleThe new rule fixes ERISA's "shortcomings," says the head of the Employee Benefits Security Administration.