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.
Compliance in U.S. Department of Labor world: Much ado about nothing?
By John SarichLet's take a look at the implications for carriers, distributors, agents and advisors.
April 06, 2016
How the final DOL fiduciary rule will impact advisorsIn a departure from the earlier draft, the finalized fiduciary rule does provide some relief for retirement plan advisors.
April 06, 2016
Lawsuits Won’t Stop DOL Fiduciary Rule, Perez SaysOpponents to the rule are on the "wrong side of history," said Labor Secretary Thomas Perez.
April 06, 2016
How the DOL Fiduciary Rule Will (and Won’t) Affect RIAsAn early look at the final rule suggests a lesser impact, though compliance caution is still warranted.
April 06, 2016
Industry associations respond to DOL fiduciary ruleThe rule is out. Now what? Industry associations focus on analysis and education.
April 06, 2016
Industry associations respond to DOL fiduciary ruleThe rule is out. Now what? Industry associations focus on analysis and education.
April 06, 2016
DOL Fiduciary Compliance: Colleen Bell on the Cambridge ApproachCambridge Investment Research is one independent BD taking a proactive stance in responding to the DOL fiduciary rule. Colleen Bell leads the way.
April 06, 2016
Final DOL fiduciary rule issuedInsurers will be given greater latitude than initially forecast in selling proprietary products, such as annuities, under the final DOL fiduciary rule.