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.
Indexed Annuities Exemption Would Ease DOL Fiduciary Burden
By William H. Byrnes, Robert BloinkWhile fixed indexed annuities would potentially be ineligible to take advantage of the BICE under the fiduciary rule, the DOL has proposed a class exemption.
February 07, 2017
Sen. Warren: Fiduciary Rule Delay Would Hurt Financial Services FirmsDelay would be a slap in the face to financial services companies that have already invested in compliance, Warren tells acting DOL Secretary Edward Hugler.
February 07, 2017
Matt Levine on the president's financial regulation roll backThe main objection to the Labor Department's fiduciary rule is it might push people who would otherwise get bad retirement advice to instead get no retirement advice. That objection is hard to say with a straight face.
February 07, 2017
Matt Levine on the president's financial regulation roll backThe main objection to the Labor Department's fiduciary rule is it might push people who would otherwise get bad retirement advice to instead get no retirement advice. That objection is hard to say with a straight face.
February 06, 2017
Details emerge on Trump's fiduciary rule directiveHere's a closer look at President Donald Trump's executive order directing the Labor Department to undertake an assessment of its fiduciary rule.
February 06, 2017
Dodd-Frank’s tentacles go deep, won’t be easily cutIt took seven years to put in place the regulatory structures imposed on Wall Street after the financial crisis. They wont be removed fast or easily.
February 06, 2017
Dodd-Frank’s tentacles go deep, won’t be easily cutIt took seven years to put in place the regulatory structures imposed on Wall Street after the financial crisis. They wont be removed fast or easily.
February 06, 2017
3 Keys to Giving Client Gifts With Maximum ImpactThe power of a properly executed gift can never be underestimated.