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.
DOL ‘relief’ would kill small annuity marketers, groups say
By Allison BellNAFA says a stiff minimum size requirement would shut out most IMOs.
March 01, 2017
Industry Weighs In on DOL Plan to Delay Fiduciary RuleThe 60-day delay will let DOL "review the rules impact ... while providing firms additional time to prepare for potential changes," says SIFMA's Bentsen.
February 28, 2017
IRS lifts March 13 notice deadline for new HRA programThe actual notice deadline will be at least 90 days after QSEHRA guidance comes out, officials say.
February 28, 2017
IRS’ ‘Dirty Dozen’: 12 Tax Fraud Schemes to AvoidScammers target the mighty and the lowly, especially during tax season.
February 28, 2017
OMB Finishes Review of Fiduciary Rule Delay RequestAttorney Tom Clark sees DOL announcing as early as this week how much of a delay it is seeking.
February 27, 2017
DOL Moves to Delay Fiduciary RuleAfter a third federal court upheld the DOL's fiduciary rule, acting secretary filed with OMB to delay the rule's April 10 compliance date.
February 27, 2017
‘Business as Usual’ at SEC Despite Staff VacanciesIf confirmed, incoming SEC Chair Jay Clayton will be busy filling open vacancies on his staff.
February 27, 2017
FINRA Launches New TRACE Data Product for AcademicsThe Academic Corporate Bond TRACE Data product is an enhanced version of historical TRACE data that includes masked dealer identities.