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.
What's Keeping Advisors Up at Night?
By Janet LevauxFidelity surveys point to regulatory issues; the firm offers tips on how to manage as DOL stays in the headlines.
February 08, 2017
The Future of the DOL Fiduciary Rule Could Be Decided This WeekAs a federal judge in Texas has ruled in favor of the Labor Department, clarity could be coming soon.
February 07, 2017
Indexed Annuities Exemption Would Ease DOL Fiduciary BurdenWhile fixed indexed annuities would potentially be ineligible to take advantage of the BICE under the fiduciary rule, the DOL has proposed a class exemption.
February 07, 2017
MetLife hit with $50 million class action lawsuitA putative class action filed Tuesday in federal court in Connecticut accuses MetLife and two of the insurer's subsidiaries of withholding more than $50 million in earned overtime pay.
February 07, 2017
Finance, insurance groups react to Trump's executive ordersMany in the finance industry supported Donald Trump for president expressly because they hoped for the type of decisive action that arrived Friday.
February 07, 2017
Sen. Warren: Fiduciary Rule Delay Would Hurt Financial Services FirmsDelay would be a slap in the face to financial services companies that have already invested in compliance, Warren tells acting DOL Secretary Edward Hugler.
February 07, 2017
Matt Levine on the president's financial regulation roll backThe main objection to the Labor Department's fiduciary rule is it might push people who would otherwise get bad retirement advice to instead get no retirement advice. That objection is hard to say with a straight face.
February 07, 2017
Matt Levine on the president's financial regulation roll backThe main objection to the Labor Department's fiduciary rule is it might push people who would otherwise get bad retirement advice to instead get no retirement advice. That objection is hard to say with a straight face.