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.
FINRA Names Gregory Dean as Senior VP of Government Affairs
By Emily ZulzDean has worked in both houses of Congress, the federal government and the private sector.
January 19, 2017
NAFA responds to the DOL's proposed fiduciary rule exemption'No industry of this size can turn on a dime,' Chip Anderson warns.
January 19, 2017
NAFA responds to the DOL's proposed fiduciary rule exemption'No industry of this size can turn on a dime,' Chip Anderson warns.
January 19, 2017
SEC Chair White Says Goodbye ... for NowAs she leaves office, Mary Jo White tells ThinkAdvisor what her SEC has accomplished and why her successor should keep the broken windows approach.
January 19, 2017
DOL posts indexed annuity fiduciary rule exemption draftTo get supervisory responsibility, a marketing organization might need $1.5 billion in annual sales.
January 19, 2017
DOL posts indexed annuity fiduciary rule exemption draftTo get supervisory responsibility, a marketing organization might need $1.5 billion in annual sales.
January 17, 2017
DOL releases fiduciary rule guidance specifically for advisorsAccording to benefits attorney Fred Reisch: 'Insurance companies can market their group variable annuity contracts to 401(k) plans without concern of fiduciary status.'
January 17, 2017
DOL releases fiduciary rule guidance specifically for advisorsAccording to benefits attorney Fred Reisch: 'Insurance companies can market their group variable annuity contracts to 401(k) plans without concern of fiduciary status.'