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.
Fiduciary Compliance Requires More Than a Tech ‘Band-Aid’: Orion’s Clarke
By Emily ZulzOrion Advisor Services CEO says advisors should determine how the DOL rule impacts their business before buying technology widgets that promise compliance.
October 04, 2016
New nursing home regs could help LTCI usersIf a resident exhausts private resources, the facility must accept Medicaid rates, the Centers for Medicare & Medicaid Services says.
October 02, 2016
5 Big Changes Advisors Should Make by Fiduciary Rule Deadline: AssetMarkAs the April 10 deadline approaches, advisors should be taking these key actions to update their practices.
October 01, 2016
New Federal Law, SEC Scrutiny Triggers Clarification of Whistleblower RightsExisting privacy regulations and common sense have led advisors to vigorously protect confidential information.
October 01, 2016
No Longer a Cottage IndustryThe SEC is saying that advisory firms are businesses, not part of a cottage industry any longer, whose responsibility includes safeguarding clients data.
October 01, 2016
Mary Jo White's Swan Songs Off Key, Critics SaySeveral SEC rulemakings are up in the air as Mary Jo White's term as head of the agency nears its end.
October 01, 2016
DOL Fiduciary Rule Is on the DocketThe industry was bracing itself in mid-September for the first decision in the string of lawsuits against the Department of Labor's fiduciary rule.
September 30, 2016
3 things NAHU told the IRS about ACA premium tax creditsJanet Stokes Trautwein says regulators need to understand how lost many exchange users are.