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.
Bogle: ‘Fiduciary Principle Will Live On’ No Matter What
By Bernice NapachThe lower cost funds and fee-based accounts created in response to the fiduciary rule will remain, writes the former Vanguard CEO.
February 08, 2017
DOL wins fiduciary rule case in TexasTexas federal trial Judge Barbara M.G. Lynn ruled in favor Wednesday of the Labor Department in the case brought by nine plaintiffs against Labors fiduciary rule.
February 08, 2017
DOL wins fiduciary rule case in TexasTexas federal trial Judge Barbara M.G. Lynn ruled in favor Wednesday of the Labor Department in the case brought by nine plaintiffs against Labors fiduciary rule.
February 08, 2017
DOL Wins Fiduciary Rule Case in TexasCongress "gave the DOL broad discretion" to protect retirement investors, the decision says.
February 08, 2017
What's Keeping Advisors Up at Night?Fidelity surveys point to regulatory issues; the firm offers tips on how to manage as DOL stays in the headlines.
February 08, 2017
FINRA Issues Status Report on Arb Task Force SuggestionsFINRA has taken action on 35 of 51 recommendations made in the Dispute Resolution Task Forces final report.
February 08, 2017
DOJ Tells Texas Judge to Postpone Ruling on Fiduciary Rule"It would not serve judicial economy to issue a ruling at this point," in light of President Trump's order, DOJ said.
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.