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.
Plans received $28 billion in 2016 ACA advance premium aid
By Allison BellTIGTA says the agency had some trouble managing tax credit users' tax returns.
March 03, 2017
SEC Freezes Assets of Unknown Traders in Suspected Insider Trading: EnforcementIn other enforcement news, SEC obtained final judgments in a case involving an international pyramid scheme targeting Latinos.
March 03, 2017
SEC to Probe Advisor, BD Fiduciary Compliance With ReTIRE InitiativeGone are the days of a long, full-scope exam, said acting exam director Pete Driscoll.
March 02, 2017
'As of Today,' April 10 Is DOL Fiduciary Compliance Date: AttorneyAt IAA compliance conference, the DOL fiduciary rule delay, the SEC and the Financial Choice Act take center stage.
March 02, 2017
DOL ‘relief’ would kill small annuity marketers, groups sayNAFA says a stiff minimum size requirement would shut out most IMOs.
March 02, 2017
SEC Easing of 'Accredited Investor' Restrictions: The BenefitsPermitting people of modest means to make their own investment decisions may be too radical for Congress or the SEC.
March 01, 2017
FINRA Bars Rep for $15M of ‘Unsuitable Trades’ in Retiree AccountThe client was a longtime Colgate-Palmolive employee who lost dividends and paid $375,000 in markups and other fees.
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.