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.
SEC OKs New Rules for In-House Proceedings
By C. Ryan BarberIndividuals and companies will have more time to prepare for hearings and depositions in certain matters.
July 13, 2016
Fintech Leaders Cautious as Online Lender Regulations LoomFinancial technology representatives told Congress that they were wary, but not outright opposed, to new regulations being considered for the online lending sector.
July 12, 2016
Morningstar, ARA Deliver Fiduciary Education ProgramThe program "sets a new standard for fiduciary practices that goes beyond the mere letter of the law," says ARA head Brian Graff.
July 12, 2016
Former SEC Chief Walter Joins Investor Advisory CommitteeSEC named three new members to its Investor Advisory Committee, including former SEC Chairwoman Elisse Walter.
July 12, 2016
DOL 101: The fiduciary rule’s impact on IMOsAn attorney-turned-financial consultant addresses a pressing but often overlooked question raised by the DOL rule: What does it mean for IMOs?
July 12, 2016
DOL 101: The fiduciary rule’s impact on IMOsAn attorney-turned-financial consultant addresses a pressing but often overlooked question raised by the DOL rule: What does it mean for IMOs?
July 11, 2016
DOL rule could slow insurance sales for independent channelThe DOL fiduciary rule could decrease revenue and accelerate consolidation of independent brokers, the Conning & Co. report warns.
July 11, 2016
DOL rule could slow insurance sales for independent channelThe DOL fiduciary rule could decrease revenue and accelerate consolidation of independent brokers, the Conning & Co. report warns.