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.
Ex-SEC Commissioner, No Dodd-Frank Fan, Leads Trump’s Financial Agency Review
By C. Ryan BarberTrump named Paul Atkins, a fellow critic of the law, to lead the transition teams review of independent financial agencies.
November 09, 2016
DOL rule faces certain death under President-elect TrumpThe much-maligned rule will likely be killed come January.
November 09, 2016
Trump, GOP could torpedo DOL rule, Dodd-FrankTrump supports the Financial CHOICE Act, which would kill the DOL fiduciary rule and replace Dodd-Frank.
November 09, 2016
Trump, GOP Could Torpedo DOL Rule, Dodd-FrankTrumps victory means DOL fiduciary rule could be halted in early 2017, says financial planning and fiduciary expert Ron Rhoades.
November 09, 2016
Victorious Donald Trump Is the Devil Wall Street Doesn’t KnowBanks have almost no idea what he intends to do to them.
November 08, 2016
Forget Robos; Regulations Now Top Driver of Advisor TechUnlike previous years, trending topics this year at T3 Enterprise were focused on how to comply with growing regulatory and cybersecurity requirements.
November 07, 2016
Annuity Group to Appeal DOL Rule Court DecisionNAFA will seek an expedited review of Judge Moss decision in the D.C. Circuit Court of Appeals.
November 07, 2016
FINRA levies $6.2 million in variable annuity L-share finesThe Financial Industry Regulatory Authority said the companies lacked an adequate system to supervise variable annuities with multiple share classes.