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 ABCs of the DOL fiduciary rule
By Janet LevauxThese basic terms will help advisors and other financial services professionals better understand the DOL fiduciary rule.
April 11, 2016
DOL rule: Expect changes to products, distribution & compensationThe DOL's new fiduciary standards, Fitch Ratings asserts, will lead to increased operational costs for insurers and for advisors endeavoring to comply.
April 11, 2016
DOL rule: Expect changes to products, distribution & compensationThe DOL's new fiduciary standards, Fitch Ratings asserts, will lead to increased operational costs for insurers and for advisors endeavoring to comply.
April 11, 2016
DOL Fiduciary Rule: The Good, the Bad and the UglyU.S. Chamber of Commerce and ERISA lawyer Brad Campbell detail the positive and negative aspects of the final rule.
April 11, 2016
Financial Planning Coalition ‘Applauds’ DOL Fiduciary RuleMarilyn Mohrman-Gillis of the CFP Board says the rule carefully balances the need for consumer protections while preserving access to retirement advice.
April 11, 2016
FIA sales spotlighted in DOL ruleFixed index annuities appear to be the product most affected by the Department of Labors new fiduciary standard regulation, according to analysts.
April 08, 2016
Senate Banking Postpones Vote on SEC Commissioners as Democrats DemurFour Democratic senators cast no vote on confirming Lisa Fairfax and Hester Peirce, citing concern about their stance on a proposed campaign finance rule.
April 08, 2016
FINRA Enforcement Chief Warns BDs to Beef Up AML PoliciesThe nature of money laundering schemes is changing, FINRA's Brad Bennett said.