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.
What BD Execs Expect From Reg BI
By Janet LevauxMost of them expect challenges and confusion, according to Investment Advisor's 2019 Presidents Poll.
May 29, 2019
Medicare Lets Agents Market PACE Home Care PlansA PACE program provides soup-to-nuts care for people who already qualify for nursing home care.
May 29, 2019
SEC Advisor Fraud Charge Shows Hazards of 'Dual-Hat' CCOsThe dual-hat CCO "usually does not have the time, expertise or interest to do the job properly," according to Cipperman Compliance Services.
May 28, 2019
Senate Banking Sets Hearing Date for SEC NomineeThe hearing is June 5, the same day the SEC is set to vote on Regulation Best Interest.
May 28, 2019
SEC Exam Chief Warns: Don't Skimp on ComplianceMeanwhile, FINRA CEO Cook sets out his compliance concerns on SEC's Reg BI as SEC Chair Clayton justifies the upcoming rule.
May 28, 2019
Industry Officials Forecast DOL Fiduciary Rule's FutureLabor Secretary Alexander Acosta spills the fiduciary beans to Congress; the OCC plans its own fiduciary updates; and NAIFA-NY sues over fiduciary reg.
May 24, 2019
IRS to Taxpayers: Check Your Tax WithholdingIt's recommending a withholding "checkup" especially for two-income families, workers with multiple jobs and taxpayers who adjusted withholding in 2018.
May 23, 2019
SEC Sets June 5 Vote on Regulation Best InterestThe SEC may also provide a new interpretation of "solely incidental" advice.