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 lifts March 13 notice deadline for new HRA program
By Allison BellThe actual notice deadline will be at least 90 days after QSEHRA guidance comes out, officials say.
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.
February 27, 2017
Trump Orders Federal Agencies to Appoint a Reg Reform OfficerEach officer will chair a regulatory reform task force in order to "alleviate unnecessary regulatory burdens," Trump says.
February 24, 2017
SEC Investor Advocate Launches Investor Research InitiativeThe POSITIER initiative will utilize surveys, focus group tests and other tools to better assess investor needs and influence rules.
February 24, 2017
SEC 'Continues to Wrestle' With Target-Date Fund Risk Rule: IM's GrimFormer SEC Commissioner Wallman urges IM to "tackle" TDF risk disclosure rule.
February 24, 2017
Accredited Investor Is an ‘Artificial Distinction’: SEC Acting ChairAt SEC Speaks, acting Chairman Michael Piwowar also zeroed in on how the Dodd-Frank Act burdens the "forgotten investor."