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.
Trump, GOP could torpedo DOL rule, Dodd-Frank
By Melanie WaddellTrump supports the Financial CHOICE Act, which would kill the DOL fiduciary rule and replace Dodd-Frank.
November 08, 2016
Forget Robos; Regulations Now Top Driver of Advisor TechUnlike previous years, trending topics this year at T3 Enterprise were focused on how to comply with growing regulatory and cybersecurity requirements.
November 07, 2016
Annuity Group to Appeal DOL Rule Court DecisionNAFA will seek an expedited review of Judge Moss decision in the D.C. Circuit Court of Appeals.
November 07, 2016
FINRA levies $6.2 million in variable annuity L-share finesThe Financial Industry Regulatory Authority said the companies lacked an adequate system to supervise variable annuities with multiple share classes.
November 05, 2016
DOL rule basics: An 8-step compliance guide [infographic]With just 5 months to go before the fiduciary rule kicks in, advisors will need to familiarize themselves with steps of the process needed to be DOL-compliant.
November 05, 2016
DOL rule basics: An 8-step compliance guide [infographic]With just 5 months to go before the fiduciary rule kicks in, advisors will need to familiarize themselves with steps of the process needed to be DOL-compliant.
November 04, 2016
DOL Rule Survives Court Challenge by Annuity GroupWashington judge rejects preliminary injunction by the National Association for Fixed Annuities.
November 04, 2016
Commonwealth CEO: ‘Unlimited Liability’ Led to Dropping Commission ProductsCEO Wayne Bloom lays out the IBDs response to the DOLs fiduciary stew, including maintaining payouts.