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.
3 DOL Fiduciary Cases in Texas to Be Consolidated; Parties Want October Resolution
By Melanie WaddellA district court judge in Texas has agreed to allow three lawsuits against the DOL fiduciary rule to be consolidated.
June 23, 2016
House override vote to kill DOL fiduciary rule failsAs expected, the House of Representatives failed late Wednesday night to override a presidential veto on a resolution to nullify the Department of Labors fiduciary rule.
June 23, 2016
House override vote to kill DOL fiduciary rule failsAs expected, the House of Representatives failed late Wednesday night to override a presidential veto on a resolution to nullify the Department of Labors fiduciary rule.
June 23, 2016
SEC Deals Merrill a $425M Wallop; Other Firms Could Be NextThe regulator says the wirehouse failed to safeguard investors' cash and other holdings; other broker-dealers must self-report customer protection violations by Nov. 1.
June 23, 2016
House Override Vote to Kill DOL Fiduciary Rule FailsThe DOL fiduciary rule "could be the next Obamacare where every few months, members reiterate how strongly they oppose this rule," says CFA's Hauptman.
June 21, 2016
Ex-Jet QB Sanchez Among Athletes Cheated in Investment FraudSanchez and other professional athletes said they were cheated out of millions of dollars by an advisor who appealed to their Christian faith.
June 21, 2016
Yellen: Brexit Could Cause Flight to Dollar, Wouldn’t Tank U.S. EconomyIf the U.K. leaves the EU, it could spark a risk-off sentiment impact on financial markets, Fed chief Janet Yellen said.
June 21, 2016
Partner or practice? How to comply with the fiduciary ruleExplore how the DOL fiduciary rule could affect your practice and how you can ensure you are in compliance with the ruling.