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.
Finke: DOL Rule May ‘Drop Bomb’ on Asset Management Industry
By Michael FinkeAnnuities, nontraded REITs and even mutual funds face a transformed environment under the DOL fiduciary rule, Michael Finke writes.
May 20, 2016
SEC Pegs April for Fiduciary Rule ReleaseETFs and fund disclosures are other areas that could see more regulation soon, SEC Chairwoman Mary Jo White says.
May 19, 2016
‘Befuddled’ Clients, Compliance Headaches Worry Advisors in Wake of DOL Fiduciary RuleA panel at the Envestnet Advisor Summit on Thursday addressed the concerns advisors have with the DOLs conflict of interest rule.
May 19, 2016
6 DOL fiduciary tasks to tackle before first deadlineAdvisory firms have a lot to do between now and April 10, 2017.
May 19, 2016
6 DOL fiduciary tasks to tackle before first deadlineAdvisory firms have a lot to do between now and April 10, 2017.
May 19, 2016
Pro Golfer Phil Mickelson to Repay $900,000 Made on Insider InfoMickelson, a relief defendant not accused of securities law violations, will repay the money he made by trading on a tip from a sports gambler.
May 19, 2016
SEC Has Its Eye on Small-Biz Capital Raising, Chief White SaysSEC is monitoring how the three capital raising measures the agency put into effect under the JOBS Act are working, White says.
May 19, 2016
What Advisors Really Think of DOL Fiduciary Rule: ThinkAdvisor PollReaders weigh in on matters like whether DOL should be sued (hint: Perez, beware of pitchforks) and what products would be affected.