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 rule: Ex-NAIFA chief readies practice for the new regime
By Warren S. HerschWhere some advisors see stress and strife as a result of the demands of the DOL fiduciary rule, former NAIFA President Juli McNeely sees opportunity.
October 17, 2016
Survey: Most advisors expect rise in DOL compliance costsAdvisors will need to enhance governance processes and implement new technologies as they seek to comply with the DOL rule.
October 17, 2016
Survey: Most advisors expect rise in DOL compliance costsAdvisors will need to enhance governance processes and implement new technologies as they seek to comply with the DOL rule.
October 17, 2016
A System of Engagement to Navigate the DoL Fiduciary RuleLearn how Salesforce Financial Services Cloud can help advisors address the challenges associated with the Department of Labor's Fiduciary Rule.
October 17, 2016
DOL Fiduciary: Outsourcing Offers Small Firms a LifeboatThe primary focus for smaller plan sponsors looking to comply with the DOL fiduciary rule will likely be on mitigating risks through outsourcing.
October 14, 2016
Sen. Warren Urges Obama to Fire SEC Chief Mary Jo WhiteWarren says White is not addressing pressing matters of compelling interest to investors and the public.
October 14, 2016
IRS blocks employer health plan threat strategyA company that 'offers MEC' but fires workers who enroll has not really offered MEC, officials say.
October 14, 2016
As SEC’s Money Market Rules Begin, Advisors Warned of ComplexitiesInvestors should consider impact of new rules, including the deteriorating purchasing power protection of money funds, says PIMCOs Schneider.