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.
Regulators’ Secret Weapon Against Cyberattackers
By Brendan McGarryFINRA and the SEC continue their concerted efforts to ensure financial firms compliance with cybersecurity regulations.
March 28, 2016
On eve of fiduciary rule, Financial Engines sees opportunityFor both supporters and opponents of DOLs fiduciary rule, determining legitimate circumstances will be the challenge going forward.
March 28, 2016
On eve of fiduciary rule, Financial Engines sees opportunityFor both supporters and opponents of DOLs fiduciary rule, determining legitimate circumstances will be the challenge going forward.
March 28, 2016
Technology can help advisors deal with impending DOL fiduciary ruleWith the proposed new rule the annuities market will experience the most tectonic shift of any other market.
March 28, 2016
Technology can help advisors deal with impending DOL fiduciary ruleWith the proposed new rule the annuities market will experience the most tectonic shift of any other market.
March 25, 2016
Advisory firms face headwinds from DOL fiduciary ruleThe DOL fiduciary rule is bound to disrupt some wealth management units.
March 25, 2016
Advisory firms face headwinds from DOL fiduciary ruleThe DOL fiduciary rule is bound to disrupt some wealth management units.
March 25, 2016
SEC Approves FINRA’s Broker Comp Disclosure RuleUnder the rule, customers will have a more complete picture of the potential implications of a decision to transfer assets when a broker switches firms.