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.
More advisors interested in regulatory training
By LIMRAForty percent of advisors are eager for regulatory training in the face of the DOL fiduciary rule implementation.
September 15, 2016
Compliance support for advisors will be key with DOL fiduciary ruleAdvisor education may be the next need to assuage fears and ease compliance confusion.
September 14, 2016
FINRA Fines Ameriprise for Rep Who Stole $370K From His FamilyAmeriprise was fined for allegedly failing to exercise reasonable due diligence in supervising the accounts, the regulator said.
September 13, 2016
Bill to Replace Dodd-Frank Passes House PanelDemocrats charge that Rep. Jeb Hensarlings Financial CHOICE Act would hurt investors by dismantling the CFPB.
September 13, 2016
Jamie Dimon says it’s time for Fed to raise interest ratesThe JPMorgan Chase CEO makes the case that a 'return to normal is a good thing.'
September 12, 2016
ETFs Will Be in DOL’s CrosshairsThe proliferation and variety of ETFs mean that theres potential for bad apples worth investigating, Morningstars Michael Wong said.
September 12, 2016
JPMorgan’s Dimon Says It’s Time for Fed to Raise Interest RatesJPMorgan Chase's chairman and CEO said a "return to normal is a good thing" in his call for a rise in interest rates.
September 12, 2016
New IRS rules allow partial annuity payouts on DB pension plansThe IRS simplified three proposed bifurcation approaches into two following the initial proposal in 2012.