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.
No Longer a Cottage Industry
By James J. GreenThe SEC is saying that advisory firms are businesses, not part of a cottage industry any longer, whose responsibility includes safeguarding clients data.
September 30, 2016
3 things NAHU told the IRS about ACA premium tax creditsJanet Stokes Trautwein says regulators need to understand how lost many exchange users are.
September 30, 2016
3 things NAHU told the IRS about ACA premium tax creditsJanet Stokes Trautwein says regulators need to understand how lost many exchange users are.
September 30, 2016
Ex-Broker Must Pay $600K for ‘Siphoning Money’ From Older Couple: FINRAJerome Krause fraudulently borrowed money from his clients when he was working for First Heartland Capital, FINRA said.
September 30, 2016
SEC Enforcement: Merrill Lynch Fined for Mini-Flash CrashesAlso, Weatherford International, an oil services company, was fined for sneaky accounting practices.
September 29, 2016
DOL wants to keep bosses out of sick-leave checksSomeone else is supposed to verify whether a federal contractor's worker is sick.
September 29, 2016
DOL wants to keep bosses out of sick-leave checksSomeone else is supposed to verify whether a federal contractor's worker is sick.
September 28, 2016
DOL Fiduciary Has Many Advisors Mulling Career Change: Fidelity SurveyWhile 29% of advisors see a positive impact from the DOL rule, 28% are considering retirement or a career change.