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.
Sen. Warren Grills Puzder in Letter on DOL Fiduciary Ahead of Hearing
By Melanie WaddellSen. Elizabeth Warren challenged the Labor secretary nominee to provide answers on how he'd handle the fiduciary rule review.
February 10, 2017
DOL expected to delay fiduciary ruleAs expected, the Department of Labor filed a notice Thursday with the Office of Management and Budget to delay implementation of its fiduciary rule.
February 10, 2017
DOL Files to Delay Fiduciary RuleDOL filed a notice Thursday with the Office of Management and Budget to delay implementation of its fiduciary rule.
February 10, 2017
Voters Favor Increased Regulation of Financial Institutions: PollA new poll reveals half of voters are in favor of more regulation for banks, credit unions and other financial institutions.
February 10, 2017
What DOL Fiduciary Victory Feels Like: The Texas Court DecisionSeven challenges to the DOL fiduciary rule were noted and refuted in Judge Barbara Lynn's decision.
February 10, 2017
SEC Says Advisor Stole From Clients to Pay for Country Club, Private Jet: EnforcementThe SEC also barred a private equity advisor for improper withdrawals from funds.
February 09, 2017
Debating Whether Dodd-Frank Is Worth SavingIs Dodd-Frank an over-regulating recovery killer, or a necessary solution to avoiding future financial crises?
February 09, 2017
IRS rules against kids, spouses of employer health spurnersA parent who rejects group coverage blocks dependents' access to ACA tax credits, officials say.