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.
SEC Names Norberg Whistleblower Office Chief
By Melanie WaddellJane Norberg was named as the new chief for the SEC's Office of the Whistleblower, which she helped set up in 2011.
September 28, 2016
Got DOL rule compliance questions? IRI training program has answersThe Insured Retirement Insitute and RegEd are developing training modules to help advisors comply with the Labor Department's fiduciary rule.
September 28, 2016
Nationwide Says DOL Rule Behind Jefferson National DealNationwide said it struck a deal to buy the Louisville-based Jefferson National, a firm with about $4.7 billion in client assets.
September 27, 2016
SEC Advancing Third-Party Exam, Fiduciary Rule PlansSEC chief White said agency is looking at staff recommendations on a rule to require independent compliance reviews.
September 26, 2016
Broker-dealers on DOL fiduciary rule: Expect advisors to walkThree in four broker-dealers surveyed by LIMRA believe the DOL fiduciary rule will exacerbate the risk of litigation.
September 26, 2016
Broker-dealers on DOL fiduciary rule: Expect advisors to walkThree in four broker-dealers surveyed by LIMRA believe the DOL fiduciary rule will exacerbate the risk of litigation.
September 26, 2016
To the rescue: Ex-coast guard pilot pitches DOL rule revampAccording to Don Trone, the man sometimes referred to as the "Father of Fiduciary," the DOL's rule is inherently flawed. Here's why...
September 26, 2016
To the rescue: Ex-coast guard pilot pitches DOL rule revampAccording to Don Trone, the man sometimes referred to as the "Father of Fiduciary," the DOL's rule is inherently flawed. Here's why...