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 Releases FAQs on Fiduciary Rule
By Melanie WaddellFirst round of FAQs answers 34 questions on new exemptions and amendments to existing exemptions.
October 26, 2016
How to Answer When FINRA Knocks on Your DoorForward-thinking firms are mining existing data for actionable intelligence to manage compliance risk, says Bill Mariano.
October 26, 2016
Calling all digital fiduciaries! Here’s your 7-point checklistTo remain within the spirit of the DOL rule, plan fiduciaries should ensure that websites and planning tools are designed to optimize retirement outcomes.
October 25, 2016
A Conversation on Compensation PlansWhat are you doing to prepare for business under the DOL fiduciary rule? Two financial services experts offer their insights to advisors.
October 25, 2016
IRS adjusts 2017 LTCI and FSA limitsFor long-term care insurance buyers in their 50s, the limit will rise to $1,530 from $1,460.
October 25, 2016
IRS adjusts 2017 LTCI and FSA limitsFor long-term care insurance buyers in their 50s, the limit will rise to $1,530 from $1,460.
October 25, 2016
DOL’s Borzi: First Fiduciary Rule FAQs to Focus on BICEFirst wave of FAQs due out very soon will answer a couple dozen questions on the rules exemptions, including BICE, Phyllis Borzi said.
October 25, 2016
Live from LIMRA: Tackling the DOL ruleSome in the life insurance industry see the DOL fiduciary rule as an opportunity. Here's why.