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.
IRS Employer Tax Credit Regs Could Reshape Group Disability Plans
By Allison BellSection 45S requirements could push employers to eliminate all short-term disability benefits eligibility restrictions.
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.
October 15, 2018
SEC Allows Fund Boards to Rely on CCO ReportsCipperman Compliance Services wonders if the move increases CCO liability.
October 12, 2018
Advisor Sentenced to Over 6 Years in Prison: EnforcementAlso, an advisor convicted of burglary and menacing by stalking faces an interim suspension of his CFP mark.
October 11, 2018
SEC Releases New Strategic PlanFurther updates to EDGAR and investor disclosure are included in the three-pronged plan.