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.
How annuities will be transformed by the DOL fiduciary rule
By Scott StolzAfter DOLs rule is adopted this year, advisors will face a very different world when designing or selling annuities.
February 02, 2016
Laws requiring Congress’ approval of DOL fiduciary rule move to HouseTwo Republican bills survived the mark-up hearing with 22 Republican votes, and 14 Democratic dissenters. Both bills would give Congress the authority to vote down the DOLs rule within a 60-day period after it is ultimately finalized.
February 02, 2016
How to Kill DOL’s Fiduciary Rule: Andy FriedmanCourts don't like to give injunctions, but if opponents to the rule can get one, the rule is dead, the Washington Update analyst says.
February 02, 2016
SEC Fines 14 Firms for Muni Bond ViolationsBarclays, Janney Montgomery and Wells Fargo are among the firms fined.
February 02, 2016
Bills to Replace DOL Fiduciary Rule Pass House PanelBoth bills "codify loopholes that make it all too easy" for advisors to avoid their best interest obligations, says consumer advocate Barbara Roper.
February 01, 2016
Morningstar Details DOL ImpactMorningstar analyst Stephen Ellis has taken a close look at the costs the financial services industry will have to cover and the adjustments it will make…
February 01, 2016
FINRA, SEC to Get New Execs in 2016New faces will be showing up this year at FINRA and the SEC.
February 01, 2016
12b-1 Fees in Crosshairs at SEC — and DOLThe SEC continues its focus on fund expenses, but DOL's fiduciary rule will take aim at such fees as well.