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 to Kill DOL’s Fiduciary Rule: Andy Friedman
By James J. GreenCourts 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 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.
February 01, 2016
Is FINRA the Fox Guarding the Henhouse?As Ive written before, I have a grudging respect for the securities industry and its self-regulatory organization, FINRA: If he were alive today, Lex Luthor couldn't do it any better.
February 01, 2016
DOL Fiduciary Rule Could Arrive by AprilWhile DOL was putting finishing touches on its rule to retool the definition of fiduciary under ERISA, regulators for BD and advisory industries unleashed their exam priorities for the new year.
February 01, 2016
Is Your Advertising Prohibited?Under Rule 206(4)-1(a)(1) of the Investment Advisers Act of 1940, advisors may not use client testimonials, directly or indirectly, in their advertising.
February 01, 2016
How Annuities Will Be Transformed by DOL Fiduciary RuleAfter DOLs rule is adopted this year, advisors will face a very different world when designing or selling annuities.