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.
Annuity Sales to Plunge Under DOL Fiduciary Rule: Cerulli
By Melanie WaddellIRI also says that industrywide annuity sales in the third quarter dropped 12% from a year ago.
December 14, 2016
DOL Fiduciary Rule's Fate: 3 Possible ScenariosEven if the Trump administration decides to delay or withdraw the rule, rollovers will continue to be a focus of regulators, attorney Fred Reish says.
December 13, 2016
10 ways to prepare for the fiduciary ruleThe risks of committing a prohibited transaction could be significant, and may include litigation, audits from the DOL and Internal Revenue Service, as well as associated penalties and fines.
December 13, 2016
10 ways to prepare for the fiduciary ruleThe risks of committing a prohibited transaction could be significant, and may include litigation, audits from the DOL and Internal Revenue Service, as well as associated penalties and fines.
December 12, 2016
Chamber’s CEO: ‘Already Working’ With Trump to Kill DOL Fiduciary RuleU.S. Chamber of Commerce is urging immediate action to undo the rule, Thomas Donohue says.
December 09, 2016
Reps Fired by Wells Fargo Asked to Call FINRAFINRA is investigating whether the U5 forms of several hundred employees "contained inaccurate or incomplete comments related to the reason for the termination."
December 09, 2016
U.S. Limits on Wall Street Bonuses Appear Doomed Ahead of TrumpObscure regulator of credit unions said to be hurdle for rules; new restrictions clash with Trump pledge to rip up Dodd-Frank.
December 09, 2016
FINRA Fines Morgan Stanley $1.5M Over Broken Links: EnforcementIn SEC enforcement news, an IT specialist settles charges of insider trading and a whistleblower is awarded $3.5 million.