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.
Ameriprise Weighs Adding Advisors as Regulation Squeezes Rivals
By Katherine ChiglinskyDOL fiduciary rule opens up opportunities, CEO says; firm has devoted about 400 people to deal with its impact.
April 28, 2016
Ameriprise weighs adding advisers as DOL rule squeezes rivalsAIG and MetLife have been exiting advisory operations ahead of the DOL fiduciary rule's phase-in, which will increase compliance costs and the risk of litigation.
April 28, 2016
Ameriprise weighs adding advisers as DOL rule squeezes rivalsAIG and MetLife have been exiting advisory operations ahead of the DOL fiduciary rule's phase-in, which will increase compliance costs and the risk of litigation.
April 27, 2016
Here's How to Fix All That Federal RegulationIs Sen. Elizabeth Warren right when she charges that federal agencies are too influenced by powerful private groups?
April 27, 2016
One regulation is painless. A million of them hurt.A small business survey found that taxes and government red tape are the biggest issues that business owners cite as their most important problems.
April 27, 2016
One regulation is painless. A million of them hurt.A small business survey found that taxes and government red tape are the biggest issues that business owners cite as their most important problems.
April 27, 2016
Stock-Tracking System Years in Making Gets Renewed SEC PushAn SEC proposal for creating a massive repository to track billions of daily orders and quotes is out for public comment.
April 27, 2016
Industry ‘Stuck’ With DOL Fiduciary Rule, but Fight Will Continue: LawmakersIts not an overcharacterization to say that this [DOL fiduciary rule] is Obamacare, essentially, on the retirement system, Rep. Peter Roskam said.