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 rule: Great for lawyers, but what about advisors?
By Caroline MarwitzAt the NAPA 401(k) Summit, head Brian Graff focused on the impact of the DOL fiduciary rule on advisors.
April 19, 2016
More than 5% of early tax filers owed PPACA penaltiesAs of early March, 47 million filers had told the IRS that all family members had MEC.
April 19, 2016
GOP Fights to Block DOL Fiduciary RuleHouse and Senate lawmakers want to exercise their power to stop the rule's implementation, but Obama would likely veto such an attempt.
April 19, 2016
More than 5% of early tax filers owed PPACA penaltiesAs of early March, 47 million filers had told the IRS that all family members had MEC.
April 18, 2016
Morgan Stanley Says DOL Fiduciary Impact ‘Manageable’ as Q1 Profits Drop 53%Net income for the wealth management unit declined 8% from last year to $493 million.
April 18, 2016
SEC Unveils Online Tool to Help Calculate EDGAR Registration FeesThe Registration Fee Estimator is designed to improve the accuracy of fee calculations for common filings like IPOs and closed-end funds.
April 18, 2016
4 practical steps to dealing with the DOL fiduciary ruleWhen the DOL Fiduciary Rule became law several weeks ago, commission-based advisor/client relationships were effectively transformed.
April 18, 2016
4 practical steps to dealing with the DOL fiduciary ruleWhen the DOL Fiduciary Rule became law several weeks ago, commission-based advisor/client relationships were effectively transformed.