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.
Survey: Most advisors expect rise in DOL compliance costs
By Warren S. HerschAdvisors will need to enhance governance processes and implement new technologies as they seek to comply with the DOL rule.
October 14, 2016
Sen. Warren Urges Obama to Fire SEC Chief Mary Jo WhiteWarren says White is not addressing pressing matters of compelling interest to investors and the public.
October 14, 2016
IRS blocks employer health plan threat strategyA company that 'offers MEC' but fires workers who enroll has not really offered MEC, officials say.
October 14, 2016
As SEC’s Money Market Rules Begin, Advisors Warned of ComplexitiesInvestors should consider impact of new rules, including the deteriorating purchasing power protection of money funds, says PIMCOs Schneider.
October 14, 2016
Enforcement: Firm Fined in ‘Fantasy Sports for Stocks’ Cellphone GameIn another action, Artis Capital Management and a senior research analyst settled SEC charges for failing to detect insider trading by an employee.
October 13, 2016
Questions Lurk Over CFPB and Navy FederalFollowing a consent order against Navy Federal, experts address questions about the $77B CUs collections practices.
October 13, 2016
Analyst: Brace yourself for a BIG, post-DOL rule revenue dipA new report makes a jaw-dropping forecast: a precipitous, $20 billion dip in industry revenue resulting from the pending phase-in of the Department of Labors fiduciary rule.
October 13, 2016
Analyst: Brace yourself for a BIG, post-DOL rule revenue dipA new report makes a jaw-dropping forecast: a precipitous, $20 billion dip in industry revenue resulting from the pending phase-in of the Department of Labors fiduciary rule.