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.
Stifel CEO Says Final DOL Rule Is 'Less Restrictive' Than He Feared
By Allison BellBut Ronald Kruszewski and Principal CEO Dan Houston still have concerns.
April 25, 2024
DOL Fiduciary Rule Add-On Could Boost Annuity Distributors' CloutOfficials want them to help agents and brokers provide conflict-free advice.
April 25, 2024
Industry Players Weigh In on the DOL's New Fiduciary DefinitionAnnuity distribution veterans, regulation backers and harsh critics look at what comes next.
April 25, 2024
Finseca CEO Pans New DOL Fiduciary Regs, Sketches Litigation PathLabor's attempts to address the insurance industry's concerns were merely "cosmetic," Marc Cadin says.
April 25, 2024
Chamber of Commerce Sues to Block FTC's Non-Compete BanThe move follows the FTC's vote on Tuesday to issue a final rule banning non-competes provisions in nearly all cases.
April 24, 2024
Ultra-Rich Should Pay to Save Social Security: PollMore than half want to trim benefits for high-earners and tax wages beyond the first $168,600 in earnings.
April 24, 2024
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOLOfficials estimate the industrywide revenue loss could be as much as $530 million per year.
April 24, 2024
Ed Slott: Final DOL Fiduciary Rule Goes 'All-in' on RolloversAdvisors now need to understand "all available options when retirement funds are leaving company plans," Slott tells ThinkAdvisor.