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.
In DOL/Post-DOL Fiduciary World, RIAs Need to Re-Differentiate
By Knut A. RostadHow RIAs should respond to what's likely to be a new wave of deregulation.
November 29, 2016
FINRA Fines VALIC $1.75M Over Comp Policies, VA SalesFor three years, reps had incentives to move assets into proprietary products and were not adequately supervised, the regulator says.
November 28, 2016
Kansas Judge Upholds DOL Fiduciary RuleIn the rule's second legal victory, a Kansas federal judge rejected insurer Market Synergy's request to block it.
November 23, 2016
Fed Officials Expect to Raise Rates in DecemberFed officials see a strengthening case to raise rates as the labor market tightened, according to their November meeting minutes.
November 23, 2016
DOL Fiduciary Rule Infringes on Advisors’ Freedom of Speech, Lawsuit ClaimsU.S. District judge in Texas hears a First Amendment argument against the Labor Dept.s fiduciary rule under ERISA.
November 23, 2016
Three Top SEC Officials to Leave AgencyThe agency's chief litigator and director of trading and markets are among those on their way out before January.
November 22, 2016
IRS postpones ACA notice deadlineForm 1095-B and 1095-C senders now have until March 2 to get the notices to individuals.
November 22, 2016
Variable annuity sales fall in advance of DOL ruleBroker-deals are pulling back on variable annuities, but fixed indexed annuities remain on an upward trajectory.