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.
Lawsuits Won’t Stop DOL Fiduciary Rule, Perez Says
By Melanie WaddellOpponents to the rule are on the "wrong side of history," said Labor Secretary Thomas Perez.
April 06, 2016
Industry associations respond to DOL fiduciary ruleThe rule is out. Now what? Industry associations focus on analysis and education.
April 06, 2016
DOL Fiduciary Compliance: Colleen Bell on the Cambridge ApproachCambridge Investment Research is one independent BD taking a proactive stance in responding to the DOL fiduciary rule. Colleen Bell leads the way.
April 06, 2016
Final DOL fiduciary rule issuedInsurers will be given greater latitude than initially forecast in selling proprietary products, such as annuities, under the final DOL fiduciary rule.
April 06, 2016
Final DOL fiduciary rule issuedInsurers will be given greater latitude than initially forecast in selling proprietary products, such as annuities, under the final DOL fiduciary rule.
April 05, 2016
FINRA, SEC Targeting EB-5 Immigrant Investor ProgramAn immigration program that's attracted $8.7 billion in investments in U.S. businesses is under regulatory scrutiny.
April 05, 2016
The DOL fiduciary rule: What's to comeAt the 2016 LIMRA Life Insurance Conference, executives discussed how advisors and firms can ready themselves for Wednesday's ruling.
April 05, 2016
Under DOL rule, fee-only RIA plan advisors in driver’s seatAs proposed, the DOL fiduciary rule does not outlaw revenue sharing, but it's likely to make the practices more difficult to execute, this industry expert says.