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.
Fiduciary Rule Readiness Check: June 9 Effective Date
By Robert Bloink, William H. ByrnesWith the DOL fiduciary rule applicability date now here, it is crucial that advisors understand what that actually means.
June 07, 2017
DOL Takes First Step Toward Fiduciary Rule ChangesLabor has released a request for information seeking public input on potential further changes to its fiduciary rule; a top Schwab lobbyist weighs in.
June 06, 2017
Not So Fast, Mr. Cohn: Is Financial Advice Really Like a Restaurant Menu?When you listen to folks argue for or against things for enough years, you start to recognize certain patterns.
June 06, 2017
FINRA Issues Hurricane Warning (for Investors)FINRA says to expect unsolicited faxes and spam about investments that exploit a variety of hurricane-related opportunities.
June 06, 2017
Planners Fear Unintended Consequences as DOL Rule Compliance Date NearsMeanwhile, ERISA attorney Fred Reish worries that small firms aren't ready to comply with the DOL fiduciary rule.
June 06, 2017
How the Fiduciary Rule Will Squeeze Your ShelfTwo insurance industry veterans say you can get through this.
June 05, 2017
Supreme Court Clips the Wings of SEC EnforcementThe U.S. Supreme Court on Monday reined in an enforcement tool that the SEC wanted to use to exact billions in fines for long-ago misdeeds.
June 02, 2017
SEC Fiduciary Rule Cannot Replace DOL’s: Financial Planning CoalitionAny work done by the SEC should not stymie or undercut Labors fiduciary rule, the Coalition states.