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.
Obama HHS explains how to estimate health regulation pain
By Allison BellThe authors of an informal guide leave out mention of agents and insurers.
January 17, 2017
DOL Quickly Releases Another Batch of Fiduciary FAQsThe new guidance for advisors includes some pleasant surprises and one disappointment, lawyer Fred Reish says.
January 13, 2017
SEC Fines Morgan Stanley $13M for Overcharging ClientsAbout 149,000 clients paid excess fees between 2012 and 2016, the regulator says.
January 13, 2017
IRS may have big ACA employer tax woes, advocate saysAn official who serves as a voice for taxpayers says the IRS may be poorly prepared for the coming wave of employer health coverage offer reports.
January 13, 2017
IRS may have big ACA employer tax woes, advocate saysAn official who serves as a voice for taxpayers says the IRS may be poorly prepared for the coming wave of employer health coverage offer reports.
January 13, 2017
Trump Appoints CFPB Critic; Sen. Warren Rallies Support for AgencyKyle Hauptman, an ardent critic of the CFPB, will be a part of Trumps transition team for the agency.
January 12, 2017
House Passes Bill to Rein In SEC Rules, ‘Drain the Swamp’Bill, sponsored by Rep. Ann Wagner, also requires the agency to review existing regulations every five years.
January 12, 2017
RightCapital Launches Enterprise Tool to Ease DOL Rule ComplianceA leaner, meaner platform than competitors will help midsize firms provide more holistic planning for clients.