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.
Variable annuity sales fall in advance of DOL rule
By Kristen BeckmanBroker-deals are pulling back on variable annuities, but fixed indexed annuities remain on an upward trajectory.
November 21, 2016
What a Trump Presidency Means for the ETF IndustryA new administration will likely have a greater impact on the ETF industry through regulatory policy and oversight than through influence on particular sectors.
November 21, 2016
Is the DOL Fiduciary Rule DOA Under Trump?Just as the industry was ramping up its compliance with the DOL's fiduciary rule, Donald Trump's surprising win could throw its viability into question.
November 21, 2016
Trump Victory Changes Financial Services Leaders, PrioritiesDonald Trump's victory in the presidential election is ushering in sweeping change across the financial services spectrum.
November 21, 2016
Coalition Urges Trump Not to Dump DOL’s Fiduciary RuleGroups want Trump to keep campaign promise; also DOL urges judge in NAFA case not to stay his decision.
November 20, 2016
Deciphering the DOL rule at NAILBA 35AALU executive Chris Morton attempts to answer the unending questions about the forthcoming DOL fiduciary rule at NAILBA 35.
November 20, 2016
Deciphering the DOL rule at NAILBA 35AALU executive Chris Morton attempts to answer the unending questions about the forthcoming DOL fiduciary rule at NAILBA 35.
November 18, 2016
Judge in Texas Case ‘Very Hard’ on DOL Rule, Lawyer SaysCFP Board lawyer in court room, though, said both sides made very persuasive arguments.