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.
DOL posts indexed annuity fiduciary rule exemption draft
By Allison BellTo get supervisory responsibility, a marketing organization might need $1.5 billion in annual sales.
January 17, 2017
DOL releases fiduciary rule guidance specifically for advisorsAccording to benefits attorney Fred Reisch: 'Insurance companies can market their group variable annuity contracts to 401(k) plans without concern of fiduciary status.'
January 17, 2017
Obama HHS explains how to estimate health regulation painThe authors of an informal guide leave out mention of agents and insurers.
January 17, 2017
Obama HHS explains how to estimate health regulation painThe authors of an informal guide leave out mention of agents and insurers.
January 17, 2017
Mary Jo White Fears Demise of SEC’s IndependenceThe departing SEC chair worries that "partisan tides" are making it harder for the agency to independently pursue its mission.
January 17, 2017
DOL Quickly Releases Another Batch of Fiduciary FAQsThe new guidance for advisors includes some pleasant surprises and one disappointment, lawyer Fred Reish says.
January 13, 2017
SEC Fines Morgan Stanley $13M for Overcharging ClientsAbout 149,000 clients paid excess fees between 2012 and 2016, the regulator says.
January 13, 2017
IRS may have big ACA employer tax woes, advocate saysAn official who serves as a voice for taxpayers says the IRS may be poorly prepared for the coming wave of employer health coverage offer reports.