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.
DOL Fiduciary Rule’s Cost for 9 Investment Advice Players: From IBDs to RIAs
By Michael S. FischerA.T. Kearney study sees big asset shifts across formats with IBDs getting walloped.
September 21, 2016
IRI study to examine reasonable compensation under DOL ruleThe survey will seek to determine compensation trends in the market to help advisors adhere to reasonable compensation requirements.
September 21, 2016
FINRA Fines, Suspends Avenir Financial Group, Bars Former CEOFINRA fined Avenir $229,000 and took action against its former CEO for misconduct including fraudulent sales.
September 20, 2016
DOL Fiduciary Rule Causes Pullback on Sale of Annuities, Funds by InsurersState Farm Insurance says it will not accept liability on the future sale of annuities or mutual funds.
September 20, 2016
fi360 Launches DOL Fiduciary Training ProgramFiduciary Essentials for Advisors is divided into five modules covering DOL fiduciary rules and fi360s fiduciary best practices.
September 20, 2016
Ernst & Young to Pay $9.3M to Settle SEC Auditor Independence ChargesThe SEC settled what it said were the first cases of personal relationships violating the commission's rules on auditor independence and impartiality.
September 20, 2016
Self-Directed IRAs: Avoiding DOL Fiduciary Rule LiabilityThe DOL fiduciary rule could increase the use of self-directed IRAs, but the role of the advisor does not end once a client chooses one.
September 20, 2016
Let's think again about whether Dodd-Frank workedIt's not obvious that Dodd-Frank made the U.S. economy safer and sounder. Here's why.