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.
10 ways to prepare for the fiduciary rule
By Pete WelshThe risks of committing a prohibited transaction could be significant, and may include litigation, audits from the DOL and Internal Revenue Service, as well as associated penalties and fines.
December 09, 2016
Reps Fired by Wells Fargo Asked to Call FINRAFINRA is investigating whether the U5 forms of several hundred employees "contained inaccurate or incomplete comments related to the reason for the termination."
December 09, 2016
U.S. Limits on Wall Street Bonuses Appear Doomed Ahead of TrumpObscure regulator of credit unions said to be hurdle for rules; new restrictions clash with Trump pledge to rip up Dodd-Frank.
December 09, 2016
FINRA Fines Morgan Stanley $1.5M Over Broken Links: EnforcementIn SEC enforcement news, an IT specialist settles charges of insider trading and a whistleblower is awarded $3.5 million.
December 08, 2016
3 insights from an ACA notice pioneerJeana Parker helped 723 clients send the IRS 446,602 1095-C forms for 2015.
December 08, 2016
Trump Pick for DOL Chief Said to Be Andrew PuzderThe fast-food CEO is a sharp critic of Obamas regulations and could roll back efforts to expand corporate liability and raise worker wages.
December 08, 2016
DOL Fiduciary Rule Harming Investors Via 'Orphaned' 401(k)s: ICI's BlassUnder the Trump administration, SEC is likely to place a heavy emphasis on capital formation, said the policy director of Americans for Financial Reform.
December 08, 2016
Enforcement Director Ceresney to Leave SECDuring Andrew Ceresneys nearly four years as enforcement director, the SEC filed more than 2,850 enforcement actions.