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.
2 Common Email Spoofing Scams to Avoid: SEC
By Ginger SzalaThe SEC made an example of nine firms that lost a total of $100 million to email fraudsters.
October 18, 2018
IRS Employer Tax Credit Regs Could Reshape Group Disability PlansSection 45S requirements could push employers to eliminate all short-term disability benefits eligibility restrictions.
October 17, 2018
IRS Helps Federal Agencies Tap Variable Life and Annuity UsersRevenue Procedure 2018-54 would ease sales of 'uniform mortgage-backed securities.'
October 17, 2018
Was It Right to Kill the DOL Fiduciary Rule? Bloink & Byrnes Go Thumb to ThumbProfessors Robert Bloink and William Byrnes go thumb to thumb over the rise and fall of the DOL fiduciary rule.
October 17, 2018
SEC Charges Advisor With Stealing From Friends, Community MembersThe advisor had previous SEC charges against him; the agency encourages investors to check its SALI database.
October 17, 2018
DOL Fiduciary Redux Is a 'Sleeping Giant': Groom's SaxonLabor's fiduciary moves "aren't dead at all," attorney Steve Saxon warns.
October 17, 2018
SEC Extends Form ADV Deadline for RIAs Affected by Hurricane MichaelThe SEC extended Form ADV filing deadlines that fall in the period from Oct. 10 to Nov. 21.
