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.
Perez: DOL took fiduciary rule comments seriously, made changes
By Melanie WaddellConflict of interest rule should emerge from OMB in near future, Perez tells lawmakers.
March 18, 2016
DOL fiduciary rule will change financial advice, according to a fiduciaryBilly Lanter, fiduciary investment advisor at Unified Trust Company, says hes worried of a watered down standard.
March 18, 2016
RIAs, reps plan to drop small clients under DOL fiduciary rule: FidelityReps and RIAs alike expect added costs to comply, and a shift away from variable annuities.
March 18, 2016
RIAs, reps plan to drop small clients under DOL fiduciary rule: FidelityReps and RIAs alike expect added costs to comply, and a shift away from variable annuities.
March 18, 2016
3 strategies for annuity carriers bracing for DOL fiduciary rule impactWait and see, or take action? Annuity carriers have a choice about how to prepare for the coming fiduciary guidelines.
March 18, 2016
3 strategies for annuity carriers bracing for DOL fiduciary rule impactWait and see, or take action? Annuity carriers have a choice about how to prepare for the coming fiduciary guidelines.
March 18, 2016
SEC Enforcement: $10M Jamaican Business Ponzi Scheme BustedKansas-based Central States Capital Markets, its CEO and two employees breached their fiduciary duty by not disclosing a conflict of interest to a municipal client.
March 17, 2016
LPL, Edward Jones Pre-DOL Rule Shifts: Smart Moves or Overreaction?Industry watchers share their views on the merits and drawbacks of such an approach by several broker-dealers.