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.
Novartis to settle SEC's China bribe case for $25 million
By Natasha KhanThe SEC says prescription incentives included payment of cover charges at a strip club.
March 22, 2016
Perez: DOL took fiduciary rule comments seriously, made changesConflict of interest rule should emerge from OMB in near future, Perez tells lawmakers.
March 22, 2016
Perez: DOL took fiduciary rule comments seriously, made changesConflict of interest rule should emerge from OMB in near future, Perez tells lawmakers.
March 22, 2016
SEC, DOL Fiduciary Rules Will Likely Be Different, White SaysWhile it's "without question" that the SEC is working on a uniform fiduciary rule, it likely won't mirror DOL's rule, SEC Chairwoman White said.
March 18, 2016
DOL fiduciary rule will change financial advice, according to a fiduciaryBilly Lanter, fiduciary investment advisor at Unified Trust Company, says hes worried of a watered down standard.
March 18, 2016
DOL fiduciary rule will change financial advice, according to a fiduciaryBilly Lanter, fiduciary investment advisor at Unified Trust Company, says hes worried of a watered down standard.
March 18, 2016
RIAs, reps plan to drop small clients under DOL fiduciary rule: FidelityReps and RIAs alike expect added costs to comply, and a shift away from variable annuities.
March 18, 2016
RIAs, reps plan to drop small clients under DOL fiduciary rule: FidelityReps and RIAs alike expect added costs to comply, and a shift away from variable annuities.