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.
Cetera Launches DOL Fiduciary Rule Survival Kit for Advisors
By Emily ZulzA new platform from Cetera Financial Group will help advisors rapidly develop action plans to incorporate the DOLs updated fiduciary standard.
April 25, 2016
Are You Conflict-Free?The most appealing position statements in financial services businesses profess a freedom from conflicts of interest.
April 25, 2016
How Wirehouses, Experts View DOL RuleReactions to the release of the fiduciary regulation.
April 25, 2016
Repeat After Me: 12b-1s, Succession Planning, Third-Party AuditsThe SEC's annual investment advisor compliance outreach summit was chock-full of vital information about what the regulator will focus on this year.
April 25, 2016
Finally, Resolution to DOL's Fiduciary Rule RevolutionThe DOL's long-awaited final fiduciary rule ensures that putting clients first is no longer a marketing slogan, it's the law, Labor Secretary Thomas Perez told reporters in April.
April 25, 2016
RBC’s Retiring CEO Talks DOL Fiduciary and the Best Business ModelRBC Wealth Management CEO John Taft reflects on where the wealth management field has been and where it's heading.
April 25, 2016
IRS OKs Program-Related Investments for FoundationsThe Obama administration has assured private foundations that they can use a wide variety of financial tools to achieve their charitable purpose.
April 22, 2016
Advisor Tech Gurus Differ on the Robo Threat, DOL Fiduciary Rule EffectsAt SSG conference, Joel Bruckensteins panel discusses robos effect on RIAs, along with which advisory models will survive DOL fiduciary rule.