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.
Deutsche Bank to Pay $9.5M SEC Fine on Research Report Failures
By Melanie WaddellDeutsche Bank Securities agreed to pay a penalty for failing to safeguard material nonpublic information generated by its research analysts.
October 12, 2016
DOL fiduciary rule forces Merrill to drop commission IRAsThe firm explains its strategy for using the BIC exemption after April 2017 when the DOL's fiduciary rule takes effect.
October 12, 2016
DOL’s Fiduciary Rule Fuels Tech Trends at ConferencesKey themes at the many industry events this fall included new document management systems to comply with the DOLs new best interest rule.
October 12, 2016
Consequences of CFPB’s Smackdown by CourtThe courts tailored decision could limit any aftershock for future enforcement, but old cases could get a new hearing.
October 11, 2016
Thrivent Fires Latest Salvo at DOL Fiduciary RuleDespite the impending litigation, the responsible business decision [is to] not slow down efforts to comply with DOLs rule, says an attorney.
October 11, 2016
New IRS QTIP Rules Increase Estate Tax Portability BenefitsNewly released guidance allows a powerful planning strategy that can be used by wealthy clients to maximize a deceased spouses federal estate tax exemption.
October 11, 2016
What happens to incentive trips under the DOL fiduciary rule?Whether or not incentive trips will continue under the DOL fiduciary rule likely comes down to a companys risk appetite.
October 11, 2016
What happens to incentive trips under the DOL fiduciary rule?Whether or not incentive trips will continue under the DOL fiduciary rule likely comes down to a companys risk appetite.