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.
Final DOL fiduciary rule issued
By Arthur D. PostalInsurers will be given greater latitude than initially forecast in selling proprietary products, such as annuities, under the final DOL fiduciary rule.
April 05, 2016
Under DOL rule, fee-only RIA plan advisors in driver’s seatAs proposed, the DOL fiduciary rule does not outlaw revenue sharing, but it's likely to make the practices more difficult to execute, this industry expert says.
April 05, 2016
Under DOL rule, fee-only RIA plan advisors in driver’s seatAs proposed, the DOL fiduciary rule does not outlaw revenue sharing, but it's likely to make the practices more difficult to execute, this industry expert says.
April 05, 2016
How Robo Tools Can Help With DOL Fiduciary ComplianceJohn Wise, CEO of InvestCloud, makes the case that the Department of Labors fiduciary rule could be a potential lifeline for robos.
April 05, 2016
Impact of DOL fiduciary rule: small investors will lose accessNearly half of advisors say the DOL fiduciary rule will discourage them from handling small rollover business.
April 05, 2016
Impact of DOL fiduciary rule: small investors will lose accessNearly half of advisors say the DOL fiduciary rule will discourage them from handling small rollover business.
April 05, 2016
DOL Fiduciary Compliance: Amy Webber on the Cambridge ApproachThe Cambridge Investment Research president explains how the IBD is prepping for the rule and how its nurturing the next generation of advisors.
April 04, 2016
IRS: 2014 PPACA exchange users received $30 billion in subsidiesThe exchange total amounts to about half of spending on the earned income tax credit program.