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.
DOL Fiduciary Rule Infringes on Advisors’ Freedom of Speech, Lawsuit Claims
By Nick ThorntonU.S. District judge in Texas hears a First Amendment argument against the Labor Dept.s fiduciary rule under ERISA.
November 22, 2016
Variable annuity sales fall in advance of DOL ruleBroker-deals are pulling back on variable annuities, but fixed indexed annuities remain on an upward trajectory.
November 22, 2016
Variable annuity sales fall in advance of DOL ruleBroker-deals are pulling back on variable annuities, but fixed indexed annuities remain on an upward trajectory.
November 21, 2016
SEC Approves Rules Helping Advisors Buy, Sell BondsThe new rules, proposed by FINRA and MSRB, require the disclosure of pricing for trading of individual bonds.
November 21, 2016
3 Critical Areas Regulators Are WatchingThere are three key issues that advisors are ignoring at their regulatory or financial peril.
November 21, 2016
What a Trump Presidency Means for the ETF IndustryA new administration will likely have a greater impact on the ETF industry through regulatory policy and oversight than through influence on particular sectors.
November 21, 2016
Is the DOL Fiduciary Rule DOA Under Trump?Just as the industry was ramping up its compliance with the DOL's fiduciary rule, Donald Trump's surprising win could throw its viability into question.
November 21, 2016
Trump Victory Changes Financial Services Leaders, PrioritiesDonald Trump's victory in the presidential election is ushering in sweeping change across the financial services spectrum.