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 tries to clarify QDIA regs on annuities in TDFs
By Nick ThorntonDOL letter responds to TIAA inquiry, offers guidance on how TDFs with annuities can comply with QDIA protocol.
December 30, 2016
IRS pushes ahead with PEO certification programA PEO might pay benefits brokers, compete with benefits brokers, or both.
December 28, 2016
Time’s Up on These Tax Changes January 1Tax Day is April 18, 2017, but Dec. 31, 2016, is the last day to make most changes that will affect taxpayers' 2016 returns.
December 28, 2016
It’s 2017. The IRS Just Changed Your Clients’ Tax BracketsIn its annual bid to avoid bracket creep for taxpayers, the IRS has issued its new tax brackets and thresholds for 2017.
December 27, 2016
Hoping for a Regulatory MiracleMany advisors would love some common sense to be exercised in 2017 with respect to the DOL's fiduciary rule.
December 27, 2016
Annuity sales to plunge under DOL fiduciary ruleIRI also says that industry-wide annuity sales in the third quarter of 2016 dropped 12 percent from a year ago.
December 27, 2016
Annuity sales to plunge under DOL fiduciary ruleIRI also says that industry-wide annuity sales in the third quarter of 2016 dropped 12 percent from a year ago.
December 22, 2016
U.S. Chamber of Commerce Says It’s Working With Trump to Kill DOL Fiduciary RuleThe biggest issue for advisors in 2016 was the DOLs long-aborning rule under which any advisor providing retirement advice is deemed a fiduciary under ERISA.