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.
Hoping for a Regulatory Miracle
By Bob SeawrightMany advisors would love some common sense to be exercised in 2017 with respect to the DOL's fiduciary rule.
December 22, 2016
U.S. Chamber of Commerce Says It’s Working With Trump to Kill DOL Fiduciary RuleThe biggest issue for advisors in 2016 was the DOLs long-aborning rule under which any advisor providing retirement advice is deemed a fiduciary under ERISA.
December 22, 2016
Wells Fargo Outlines DOL, Tech Plans; Departures ContinueThe wirehouse urged its FAs to "have conversations with clients and document" that discussion.
December 22, 2016
Dissecting the Donald Trump EffectSo what changes revolutionary or otherwise are in store for advisors and their clients under a Trump administration?
December 22, 2016
With White’s Departure From SEC, Hopefully the Bullying Will EndChair Mary Jo White is an extremely smart lawyer, but former prosecutors prosecute; too often, small firms were the victims of bullying by the SEC.
December 22, 2016
Department of Labor’s 2016 by the NumbersA changing administration portends a change in direction, but heres how the DOL did in 2016.
December 22, 2016
Icahn named special Trump adviser to roll back regulationsCarl Icahn reiterated his calls for reducing federal regulations that have run amok while saying some curbs, including the Dodd-Frank law, remain necessary.
December 22, 2016
Icahn named special Trump adviser to roll back regulationsCarl Icahn reiterated his calls for reducing federal regulations that have run amok while saying some curbs, including the Dodd-Frank law, remain necessary.