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.
Thrivent Fires Latest Salvo at DOL Fiduciary Rule
By Melanie WaddellDespite the impending litigation, the responsible business decision [is to] not slow down efforts to comply with DOLs rule, says an attorney.
October 11, 2016
What happens to incentive trips under the DOL fiduciary rule?Whether or not incentive trips will continue under the DOL fiduciary rule likely comes down to a companys risk appetite.
October 07, 2016
Fed running out of excuses to avoid rate hike, TIAA’s Nick saysWith the economy picking up steam, there is little reason for the Fed not to raise rates.
October 07, 2016
Software pundit: Plan for a total IT overhaul after DOL ruleVUE Software Vice President John Sarich expects that advisor compensation will transition to the billable hourly model used by law firms.
October 07, 2016
Software pundit: Plan for a total IT overhaul after DOL ruleVUE Software Vice President John Sarich expects that advisor compensation will transition to the billable hourly model used by law firms.
October 07, 2016
FINRA’s Top 5 Fine Categories in Potentially Record-Setting YearFINRAs 2016 fines are on pace to shatter the record-setting 2014 fine levels, driven by a sharp increase in supersized fines.
October 06, 2016
SEC Enforcement: Insider Trading, Whistleblower Retaliation and MoreAlso, an investment advisor must pay a penalty for choosing an unqualified administrative assistant as CCO, and other recent actions.
October 05, 2016
Filers paid most reported 2014 ACA IRS bills, watchdog saysAbout 94.5 percent of the filers who owed mandate penalties paid them by December 2015.