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.
Obama vetoes anti-DOL fiduciary rule resolutions, lawsuit moves forward
By Melanie WaddellAs expected, President Barack Obama on Wednesday vetoed resolutions to kill the Department of Labors rule amending the definition of fiduciary under ERISA.
June 08, 2016
Morgan Stanley Hit by SEC for Cybersecurity ViolationsMorgan Stanley employee "impermissibly accessed and transferred customer data" regarding 730,000 accounts, which was ultimately hacked by third parties.
June 08, 2016
5 things to know about selling annuities under the DOL fiduciary ruleFrom rules on proprietary products to how to determine whether an annuity is in a client's best interest, here are five things advisors should know.
June 08, 2016
5 things to know about selling annuities under the DOL fiduciary ruleFrom rules on proprietary products to how to determine whether an annuity is in a client's best interest, here are five things advisors should know.
June 07, 2016
How Content Management Can Help Advisors Handle DOL Fiduciary RuleEnterprise content management systems reduce the cost of compliance, automating the capture, secure retention and retrieval of content like client documents and social media posts.
June 06, 2016
PPACA employer mandate may start two-step fightsNichole Elliott, an IRS veteran, says exchange notices may serve as an early warning sign.
June 06, 2016
PPACA employer mandate may start two-step fightsNichole Elliott, an IRS veteran, says exchange notices may serve as an early warning sign.
June 06, 2016
Stephen L. Cohen, SEC Enforcer, to Leave After Nearly 12 YearsUnder Cohens leadership, the SEC brought enforcement actions against E-Trade and a $600M online Ponzi scheme.