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 Fiduciary Lawsuit Said to Be in Offing
By Melanie WaddellThe suit could be filed today, Thursday or next week, an industry official says.
June 01, 2016
Clock is ticking on DOL fiduciary complianceAdvisors shouldnt dilly-dally in complying with the Department of Labors new rule, says prominent fiduciary attorney Fred Reish.
May 31, 2016
DOL 101: The fiduciary rule's impact on insurance-only agentsPart 1 of this series of articles about the DOL fiduciary rule's impact focuses on insurance-only producers.
May 31, 2016
DOL 101: The fiduciary rule's impact on insurance-only agentsPart 1 of this series of articles about the DOL fiduciary rule's impact focuses on insurance-only producers.
May 30, 2016
Lessons for Advisors From Indecipherable DOL Fiduciary RuleA free Microsoft tool can make your own letters, blog posts and proposals understandable, unlike the DOL's fiduciary rule.
May 29, 2016
Following the yin and yang of ethics and complianceBest Practice: To become a top-tier financial professional, you must be highly ethical as well as highly compliant in terms of adhering to the law.
May 27, 2016
Enforcement: Illinois Mayor Fined for Misusing Hotel BondsThe SEC also froze the assets of a trader who faked filings and then made $425,000.
May 26, 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.