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 roundtable: Views from industry veterans
By Warren S. Hersch, Emily HolbrookRepresentatives from all sides of the insurance industry recently discussed the implications of the DOL fiduciary rule.
August 15, 2016
SEC Charges Hedge Fund Manager in Scheme Involving Terminally IllDonald Lathen allegedly paid 60 patients $10,000 each to use their names on accounts, redeeming their investments after they died.
August 15, 2016
Advisors may revamp their practices in wake of DOL ruleA Nationwide survey finds that 87 percent of advisors are now considering changes to how they do business.
August 15, 2016
Advisors may revamp their practices in wake of DOL ruleA Nationwide survey finds that 87 percent of advisors are now considering changes to how they do business.
August 15, 2016
Consumer groups reject DOL lawsuitsThree consumer groups are asking a D.C. federal court to deny a trade groups request for an injunction against the Department of Labor (DOL).
August 12, 2016
IRS tackles 1095-B versus 1095-C filing confusionEmployers that sponsor small self-insured plans may end up using the 1095-B form.
August 12, 2016
Enforcement: Advisor Inflated AUM, Stole From Client, SEC SaysMeanwhile, the SEC fined a company for its anti-whistleblower policy.
August 12, 2016
Unchartered waters: Why this IMO is seeking FI status under DOL ruleThe DOL fiduciary rule will likely mean cuts in commissions, and more standardized payouts, for agents and advisors, says Clarity 2 Prosperity CEO Jason Smith.