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.
House override vote to kill DOL fiduciary rule fails
By Melanie WaddellAs expected, the House of Representatives failed late Wednesday night to override a presidential veto on a resolution to nullify the Department of Labors fiduciary rule.
June 21, 2016
Ex-Jet QB Sanchez Among Athletes Cheated in Investment FraudSanchez and other professional athletes said they were cheated out of millions of dollars by an advisor who appealed to their Christian faith.
June 21, 2016
Yellen: Brexit Could Cause Flight to Dollar, Wouldn’t Tank U.S. EconomyIf the U.K. leaves the EU, it could spark a risk-off sentiment impact on financial markets, Fed chief Janet Yellen said.
June 21, 2016
Partner or practice? How to comply with the fiduciary ruleExplore how the DOL fiduciary rule could affect your practice and how you can ensure you are in compliance with the ruling.
June 20, 2016
DOL's Perez Vows to Fight Mounting Fiduciary LawsuitsLabor Secretary Perez has vowed to vigorously defend fiduciary rule against the mounting lawsuits that were lobbed against it in June.
June 20, 2016
DOL files to consolidate 3 fiduciary suitsPlaintiffs agreed to consolidation but insist that each case be allowed to "retain their separate identities." Meanwhile, the House gets ready to vote...
June 20, 2016
DOL files to consolidate 3 fiduciary suitsPlaintiffs agreed to consolidation but insist that each case be allowed to "retain their separate identities." Meanwhile, the House gets ready to vote...
June 20, 2016
Can Digital Advice Fill Advisor Gap for Small Investors?Seventy-one percent of American households have less than $100,000 in investable assets, and only 8% of advisors serve them, Cerulli found.