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.
How to Comply With DOL’s Best Interest Standard of Care
By Fred ReishThe DOL fiduciary rules best interest standard of care will impact advisors advice on IRAs on both a macro and micro level.
June 09, 2016
House Panel Votes to Give SEC $1.5B in 2017; Hensarling Looks to End Dodd-FrankAmount is less than requested by Obama; also Rep. Jeb Hensarling floats ending Dodd-Frank under Financial CHOICE Act.
June 09, 2016
SEC Pays Out $17M Whistleblower AwardWhistleblower "provided high-quality information that led to sanctions against a major player in the financial markets," says whistleblower's lawyer.
June 09, 2016
DOL Fiduciary Rule Faces Another Suit by Annuity IndustryDOL fiduciary rule unfairly targets certain types of fixed annuity products, says IALCs Jim Poolman.
June 08, 2016
Obama vetoes anti-DOL fiduciary rule resolutions, lawsuit moves forwardAs expected, President Barack Obama on Wednesday vetoed resolutions to kill the Department of Labors rule amending the definition of fiduciary under ERISA.
June 08, 2016
Obama vetoes anti-DOL fiduciary rule resolutions, lawsuit moves forwardAs expected, President Barack Obama on Wednesday vetoed resolutions to kill the Department of Labors rule amending the definition of fiduciary under ERISA.
June 08, 2016
Obama Vetoes Anti-DOL Fiduciary Rule Resolutions; Date Set for LawsuitNational Association for Fixed Annuities lawsuit against DOL seeks a preliminary injunction to stay the rule.
June 08, 2016
Morgan Stanley Hit by SEC for Cybersecurity ViolationsMorgan Stanley employee "impermissibly accessed and transferred customer data" regarding 730,000 accounts, which was ultimately hacked by third parties.