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.
Calling all digital fiduciaries! Here’s your 7-point checklist
By Warren S. HerschTo remain within the spirit of the DOL rule, plan fiduciaries should ensure that websites and planning tools are designed to optimize retirement outcomes.
October 25, 2016
IRS adjusts 2017 LTCI and FSA limitsFor long-term care insurance buyers in their 50s, the limit will rise to $1,530 from $1,460.
October 25, 2016
DOL’s Borzi: First Fiduciary Rule FAQs to Focus on BICEFirst wave of FAQs due out very soon will answer a couple dozen questions on the rules exemptions, including BICE, Phyllis Borzi said.
October 25, 2016
Live from LIMRA: Tackling the DOL ruleSome in the life insurance industry see the DOL fiduciary rule as an opportunity. Here's why.
October 25, 2016
Live from LIMRA: Tackling the DOL ruleSome in the life insurance industry see the DOL fiduciary rule as an opportunity. Here's why.
October 24, 2016
Warning: Don't Expect Revisions or Reversals in DOL RuleAs the DOL rolls out fiduciary rule guidance, advisors and BDs should not count on major revisions or reversals.
October 24, 2016
SEC Announces Reporting Changes for Advisors on SMAs, PerformanceAdvisors will need to provide additional information on their Form ADV, and retain performance documentation for all managed accounts or security recommendations.
October 21, 2016
SEC Enforcement: Advisor Charged With Failing to Disclose Conflict of InterestVCAMs founder will be barred from the securities industry for two years. Also, Bank Leumi is charged with conducting cross-border business in the U.S.