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.
Swaps Cop Massad Will Step Down, Letting Trump’s CFTC Take Shape
By Ben Bain and Silla Brush, BloombergRegulator drew criticism for pushing rules as term neared end; move eases risk of panels Democrats outnumbering Republicans.
January 03, 2017
DOL tries to clarify QDIA regs on annuities in TDFsDOL letter responds to TIAA inquiry, offers guidance on how TDFs with annuities can comply with QDIA protocol.
January 03, 2017
DOL tries to clarify QDIA regs on annuities in TDFsDOL letter responds to TIAA inquiry, offers guidance on how TDFs with annuities can comply with QDIA protocol.
January 03, 2017
DOL Tries to Clarify QDIA Regs on Annuities in TDFsCan target-date funds that feature annuities be used as qualified default investment alternatives in 401(k) plans? The DOL tries to explain.
December 30, 2016
IRS pushes ahead with PEO certification programA PEO might pay benefits brokers, compete with benefits brokers, or both.
December 30, 2016
IRS pushes ahead with PEO certification programA PEO might pay benefits brokers, compete with benefits brokers, or both.
December 28, 2016
Time’s Up on These Tax Changes January 1Tax Day is April 18, 2017, but Dec. 31, 2016, is the last day to make most changes that will affect taxpayers' 2016 returns.
December 28, 2016
It’s 2017. The IRS Just Changed Your Clients’ Tax BracketsIn its annual bid to avoid bracket creep for taxpayers, the IRS has issued its new tax brackets and thresholds for 2017.