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 administration revamps group disability claim rules
By Allison BellCompletion of the project may lead to a midnight rules fight with Republicans.
December 15, 2016
IRS focuses on low-income liars in new ACA premium tax credit regsThe agency also answers questions about employer opt-out money and employer plan years.
December 15, 2016
Court Refuses NAFA Bid to Block DOL Fiduciary RuleThe Department of Labor has scored another legal victory for its retirement rule, this time in federal court in Washington.
December 15, 2016
FINRA Enforcement Chief Bennett to DepartBrad Bennett will leave early next year and return to private practice.
December 15, 2016
Annuity Sales to Plunge Under DOL Fiduciary Rule: CerulliIRI also says that industrywide annuity sales in the third quarter dropped 12% from a year ago.
December 14, 2016
FINRA Expels First Crowdfunding PortalThe regulator says uFundingPortal.com violated several SEC regulations and FINRA's own portal rules.
December 14, 2016
DOL Rule Adds to Mutual Fund Industry HeadwindsMoodys and other analysts expect fiduciary rule to flip the balance of power as advisors adopt fee-based compensation.
December 14, 2016
DOL Fiduciary Rule's Fate: 3 Possible ScenariosEven if the Trump administration decides to delay or withdraw the rule, rollovers will continue to be a focus of regulators, attorney Fred Reish says.