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.
The DOL Fiduciary Rule Is Here. What Should Advisors Do Next?
By Bernice NapachAn Envestnet webinar for advisors laid out several steps advisors can take to comply with the new rule.
April 28, 2016
Ameriprise Weighs Adding Advisors as Regulation Squeezes RivalsDOL fiduciary rule opens up opportunities, CEO says; firm has devoted about 400 people to deal with its impact.
April 28, 2016
The march to halt the new DOL rule moves aheadIndustry interest groups remain galvanized against the rule, even as more of their constituents are rolling out product adjustments to assure compliance.
April 28, 2016
Regulators Don't Want Bankers to Be Paid for Taking RiskThere's something pleasingly quaint about reading a new bankers' compensation rule, with its implication that what needs changing about banking is the culture of risk.
April 28, 2016
Ameriprise weighs adding advisers as DOL rule squeezes rivalsAIG and MetLife have been exiting advisory operations ahead of the DOL fiduciary rule's phase-in, which will increase compliance costs and the risk of litigation.
April 28, 2016
Ameriprise weighs adding advisers as DOL rule squeezes rivalsAIG and MetLife have been exiting advisory operations ahead of the DOL fiduciary rule's phase-in, which will increase compliance costs and the risk of litigation.
April 27, 2016
Here's How to Fix All That Federal RegulationIs Sen. Elizabeth Warren right when she charges that federal agencies are too influenced by powerful private groups?
April 27, 2016
One regulation is painless. A million of them hurt.A small business survey found that taxes and government red tape are the biggest issues that business owners cite as their most important problems.