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.
Nationwide Says DOL Rule Behind Jefferson National Deal
By Janet LevauxNationwide said it struck a deal to buy the Louisville-based Jefferson National, a firm with about $4.7 billion in client assets.
September 26, 2016
Broker-dealers on DOL fiduciary rule: Expect advisors to walkThree in four broker-dealers surveyed by LIMRA believe the DOL fiduciary rule will exacerbate the risk of litigation.
September 26, 2016
To the rescue: Ex-coast guard pilot pitches DOL rule revampAccording to Don Trone, the man sometimes referred to as the "Father of Fiduciary," the DOL's rule is inherently flawed. Here's why...
September 26, 2016
To the rescue: Ex-coast guard pilot pitches DOL rule revampAccording to Don Trone, the man sometimes referred to as the "Father of Fiduciary," the DOL's rule is inherently flawed. Here's why...
September 23, 2016
Ex-New York Governor, Music Producer Caught in SEC ActionThree executives were charged with defrauding investors in a purported project to construct the largest movie studio in North America.
September 23, 2016
SEC Enforcement: Marijuana Container Company Busted in Stock SchemeAlso, Florida man charged with fraud for scheme to register and sell stock in blank check companies disguised as promising startups.
September 23, 2016
‘Hit Pause’ on DOL Fiduciary Rule, Insurer’s Lawyers Urge Federal JudgeLawyers representing insurer Market Synergy told a Kansas judge that DOL failed to prove that state-based regulation of fixed-indexed annuities is broken.
September 23, 2016
4 SEC Exam Priorities Advisors Need to Know: Brian HamburgerThe MarketCounsel CEO highlights the exam priorities that the SEC has shown by their actions, not by their words.