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.
Most Advisors Don’t ‘Fully Understand’ DOL Fiduciary Rule: Eaton Vance
By Emily ZulzThere will be an enormous educational effort for the industry to try to understand" the impending fiduciary rule, says Eaton Vance's John Moninger.
February 05, 2016
SEC to Release Third-Party Advisor Exam Rule in Spring: TDAI’s SchweissWriting a fiduciary rule that still allows proprietary product sales is an "impossible task" for the SEC, says TDAI's Skip Schweiss.
February 05, 2016
Justices Will Know Insider Trading When They See ItA loose but useful way to think about U.S. insider-trading law is that it is supposed to encourage research, but discourage cheating.
February 05, 2016
SEC Enforcement: Wells Fargo to Pay $1.2B on Mortgage FraudIn another action, a Miami brokerage will pay $1 million to settle anti-money laundering charges.
February 04, 2016
How annuities will be transformed by the DOL fiduciary ruleAfter DOLs rule is adopted this year, advisors will face a very different world when designing or selling annuities.
February 04, 2016
How annuities will be transformed by the DOL fiduciary ruleAfter DOLs rule is adopted this year, advisors will face a very different world when designing or selling annuities.
February 03, 2016
SEC Said to Be Shifting Examiners to RIAs; Jarcho Named Deputy Director of SEC ExamsIndustry officials expect the SEC to announce soon that it will shift more examiners to advisors from BDs.
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.