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.
Obama Nominates Merrick Garland to Supreme Court
By Zoe TillmanI chose a serious man and exemplary judge, Obama said at ceremony in Rose Garden.
March 15, 2016
DOL Fiduciary Rule Will Change Financial Advice, According to a FiduciaryBilly Lanter, fiduciary investment advisor at Unified Trust Co., says hes worried about a "watered down" fiduciary standard.
March 14, 2016
SEC Fines 3 AIG Advisor Group BDs $9.5M on Excess Fund FeesSagePoint, Royal Alliance and FSC Securities steered mutual fund clients into more expensive share classes and collected $2 million in fees, the SEC says.
March 14, 2016
PPACA exchange: Tax credit tracking improvedConnect for Health says the gap between its numbers and the carriers' numbers is shrinking.
March 14, 2016
RIAs, Reps Plan to Drop Small Clients Under DOL Fiduciary Rule: FidelityReps and RIAs alike also expect added compliance costs and a shift in products they recommend, away from variable annuities and toward managed accounts.
March 11, 2016
HealthCare.gov issuers face a tough new compliance eraA temporary good faith compliance policy has expired.
March 11, 2016
HealthCare.gov issuers face a tough new compliance eraA temporary good faith compliance policy has expired.
March 11, 2016
5 things to know about the DOL fiduciary ruleERISA attorneys talk about the proposed industry-changing standard.