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's Perez Vows to Fight Mounting Fiduciary Lawsuits
By Melanie WaddellLabor Secretary Perez has vowed to vigorously defend fiduciary rule against the mounting lawsuits that were lobbed against it in June.
June 20, 2016
Can Digital Advice Fill Advisor Gap for Small Investors?Seventy-one percent of American households have less than $100,000 in investable assets, and only 8% of advisors serve them, Cerulli found.
June 20, 2016
DOL Files to Consolidate 3 Fiduciary Suits in Texas; House Sets Veto-Override VoteThe plaintiffs agree to consolidation but want the court to "proceed quickly" as the first deadline approaches in less than a year.
June 20, 2016
IRS Makes Charities’ Financial Data Easily AccessibleNonprofits' Form 990 data will be available for the first time in a machine-readable format through Amazon Web Services.
June 20, 2016
DOL 101: The fiduciary rule's impact on annuity carriersCarriers have a long haul ahead with DOL rule implementation, regardless of product type offered.
June 20, 2016
DOL 101: The fiduciary rule's impact on annuity carriersCarriers have a long haul ahead with DOL rule implementation, regardless of product type offered.
June 17, 2016
Q1 Annuity Sales Up 7.6% From Year Ago, but Will DOL Kill Growth?While annuity sales remain strong, according to an IRI report, annuity groups are fighting to minimize the DOL fiduicary rule's impact on the industry.
June 16, 2016
Advisors, Do You Have a Dementia Escalation Plan?As the base of clients advisors serve gets older, they may well find themselves with a client who exhibits signs of diminished capacity.