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 101: The fiduciary rule’s impact on IMOs
By Kevin W. Mechtley, J.D.An attorney-turned-financial consultant addresses a pressing but often overlooked question raised by the DOL rule: What does it mean for IMOs?
July 11, 2016
DOL rule could slow insurance sales for independent channelThe DOL fiduciary rule could decrease revenue and accelerate consolidation of independent brokers, the Conning & Co. report warns.
July 08, 2016
SEC Whistleblower Chief to Leave AgencySean McKessy, chief of the Office of the Whistleblower at the SEC, will leave the agency later this month.
July 08, 2016
DOL clarifies fiduciary rule for insurance companiesThe technical correction DOL issued to BICE deals with the actuarial review of insurance companies.
July 08, 2016
DOL clarifies fiduciary rule for insurance companiesThe technical correction DOL issued to BICE deals with the actuarial review of insurance companies.
July 08, 2016
DOL Fiduciary Hearing in Texas Set for Nov. 17The federal judge in Texas overseeing the three lawsuits filed in the state against the DOL's fiduciary rule will hear oral arguments from both sides.
July 08, 2016
FINRA Enforcement: RBC Failed to Report Reps' Wage GarnishmentsMeanwhile, New York-based Jefferies was censured and fined on TRACE execution time reporting failures.
July 07, 2016
How draft ACA tax regulations could affect your clientsThe IRS tries to iron out wrinkles and plug loopholes.