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.
Fitch warns of potential disruptions from DOL rule
By Nick ThorntonDisclosure requirements in the fiduciary rule proposed by the DOL could present hidden surprises to RIAs fee-based model, analysts at Fitch say.
July 08, 2015
Chamber questions DOL fiduciary rule’s cost estimatesIn a comment letter sent to the DOL last month, the U.S. Chamber of Commerce took issue with cost estimates.
July 08, 2015
Chamber questions DOL fiduciary rule’s cost estimatesIn a comment letter sent to the DOL last month, the U.S. Chamber of Commerce took issue with cost estimates.
July 08, 2015
FSI Pushes Investors to Weigh in on DOL Fiduciary With New MicrositeWhile FSI advisor members have been sending thousands of letters, the site will give retail investors "a voice in Washington," says FSI's Brown.
July 07, 2015
8 Top Concerns of SEC Investor AdvocateMillennials, fiduciary duty and retirement readiness are on the investor advocates policy agenda for fiscal year 2016.
July 07, 2015
‘Dissident’ Candidate Vies for FINRA Board SeatWith FSI's endorsement, securities attorney Brian Kovack is running against FINRA's chosen candidate to push for "immediate reforms" in three areas.
July 03, 2015
New insurance advocacy group calls on DOL to withdraw ruleA non-profit working to extend the reach of fixed-income insurance products in workplace retirement plans called on the DOL to withdraw its proposed fiduciary standard.
July 03, 2015
New insurance advocacy group calls on DOL to withdraw ruleA non-profit working to extend the reach of fixed-income insurance products in workplace retirement plans called on the DOL to withdraw its proposed fiduciary standard.