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.
SIFMA’s Bentsen: DOL Rule Will Have Unintended Consequences
By Bernice NapachSIFMA president also blasted the Obama administration's comments that the brokerage industry's business model "rests on bilking" clients.
April 07, 2016
10 changes to the finalized DOL fiduciary ruleThe final DOL fiduciary rule is different from the proposed rule. Here are 10 key changes you need to know about.
April 07, 2016
10 changes to the finalized DOL fiduciary ruleThe final DOL fiduciary rule is different from the proposed rule. Here are 10 key changes you need to know about.
April 07, 2016
Industry insiders react cautiously to DOL fiduciary ruleThe good news? Unlike previous comments on the potential impact of the rule, no one used the word "sue" to describe their reaction.
April 07, 2016
Industry insiders react cautiously to DOL fiduciary ruleThe good news? Unlike previous comments on the potential impact of the rule, no one used the word "sue" to describe their reaction.
April 06, 2016
Twitter reactions to the finalized DOL fiduciary ruleMany people on social media voiced their opinion and followed along as the DOL shared a live announcement on the rule.
April 06, 2016
DOL chart compares early fiduciary rule to finalHere's a chart showing what the DOL says it did to address comments and concerns over its fiduciary rule.
April 06, 2016
Compliance in U.S. Department of Labor world: Much ado about nothing?Let's take a look at the implications for carriers, distributors, agents and advisors.