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 rule: Expect changes to products, distribution & compensation
By Warren S. HerschThe DOL's new fiduciary standards, Fitch Ratings asserts, will lead to increased operational costs for insurers and for advisors endeavoring to comply.
April 11, 2016
FIA sales spotlighted in DOL ruleFixed index annuities appear to be the product most affected by the Department of Labors new fiduciary standard regulation, according to analysts.
April 08, 2016
Senate Banking Postpones Vote on SEC Commissioners as Democrats DemurFour Democratic senators cast no vote on confirming Lisa Fairfax and Hester Peirce, citing concern about their stance on a proposed campaign finance rule.
April 08, 2016
FINRA Enforcement Chief Warns BDs to Beef Up AML PoliciesThe nature of money laundering schemes is changing, FINRA's Brad Bennett said.
April 07, 2016
SIFMA’s Bentsen: DOL Rule Will Have Unintended ConsequencesSIFMA president also blasted the Obama administration's comments that the brokerage industry's business model "rests on bilking" clients.
April 07, 2016
Consumers ‘Crave Trust,’ Concerned DOL Fiduciary Rule Won’t Provide ItInvestors dont believe the government can be trusted any more than financial professionals, Hearts & Wallets found.
April 07, 2016
Enforcement: SEC Charges 4 in ‘Free Dinner’ Fraud Against SeniorsFINRA censured and fined Merrill Lynch for performing inadequate background checks on 4,500 of its 20,000 nonregistered associates.
April 07, 2016
10 changes to the finalized DOL fiduciary ruleThe final DOL fiduciary rule is different from the proposed rule. Here are 10 key changes you need to know about.