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.
3 strategies for annuity carriers bracing for DOL fiduciary rule impact
By Kristen BeckmanWait and see, or take action? Annuity carriers have a choice about how to prepare for the coming fiduciary guidelines.
March 17, 2016
LPL, Edward Jones Pre-DOL Rule Shifts: Smart Moves or Overreaction?Industry watchers share their views on the merits and drawbacks of such an approach by several broker-dealers.
March 16, 2016
LPL Cuts Prices, Account Minimums Ahead of DOL Fiduciary RuleThe independent broker-dealer also plans to offer a fund-only brokerage IRA to meet the new fiduciary standard.
March 16, 2016
DOL Rule Will Mean Cheaper Annuities, More Robo-Advice: CerulliThe rule will spur a period of innovation for BDs and product manufacturers, Cerulli predicts.
March 16, 2016
Perez: DOL Took Fiduciary Rule Comments Seriously, Made Changes"At the end of our process, we look forward to explaining the changes we made and how we intend to proceed," Labor Secretary Perez said.
March 16, 2016
FINRA Fines Raymond James for Violating Customer PrivacyThe broker-dealer will pay $500,000 over the use of client data by its transition staff.
March 16, 2016
Obama nominates Merrick Garland to Supreme CourtI chose a serious man and exemplary judge, Obama said at ceremony in Rose Garden.
March 16, 2016
Obama nominates Merrick Garland to Supreme CourtI chose a serious man and exemplary judge, Obama said at ceremony in Rose Garden.