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.
DOL fiduciary rule: The good, the bad and the ugly
By Melanie WaddellU.S. Chamber of Commerce and ERISA lawyer Brad Campbell detail the positive and negative aspects of the final rule.
April 14, 2016
SEC Using More ‘Tactical’ Approach to Exams: Risk ChiefSEC is really focused on anti-money laundering violations, SECs Peter Driscoll says.
April 14, 2016
Indexed Annuities Run Afoul of DOL Fiduciary RuleOne change in the final DOL rule: Like variable annuities, fixed indexed annuities will need a BICE.
April 12, 2016
IRS Needs More Money and Staff to Thwart Hackers: CommissionerA hearing at the Senate Finance Committee exposes problems with IRS cybersecurity operations but bipartisan support for solutions.
April 12, 2016
SEC Would Use Boost in Funds for Cybersecurity, Advisor ExamsMeanwhile, SEC staffers have "provided an outline in dialogue" with the commissioners about the fiduciary rules course, White told senators Tuesday.
April 12, 2016
The ABCs of the DOL fiduciary ruleThese basic terms will help advisors and other financial services professionals better understand the DOL fiduciary rule.
April 12, 2016
The ABCs of the DOL fiduciary ruleThese basic terms will help advisors and other financial services professionals better understand the DOL fiduciary rule.
April 12, 2016
Obama ‘Pleased’ With Yellen Amid Signs of Slowing EconomyMeanwhile, the Senate Banking Committee is blocking two Fed nominees until Obama names a vice chairman for supervision.