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.
New IRS rules allow partial annuity payouts on DB pension plans
By Kristen BeckmanThe IRS simplified three proposed bifurcation approaches into two following the initial proposal in 2012.
September 12, 2016
Milevsky: Big flaw in DOL fiduciary rule; annuities take early hitMoshe Milevsky, an annuity expert, anticipates a negative short-term impact before homeostasis returns to the annuity space.
September 12, 2016
Milevsky: Big flaw in DOL fiduciary rule; annuities take early hitMoshe Milevsky, an annuity expert, anticipates a negative short-term impact before homeostasis returns to the annuity space.
September 09, 2016
Nearly half of IRA rollover assets “at-risk” under DOL ruleThe elimination of cash incentives to do 401(k)-to-IRA rollovers would impact plan participants who rely on 401(k) providers for advice, Cerulli warns.
September 09, 2016
Nearly half of IRA rollover assets “at-risk” under DOL ruleThe elimination of cash incentives to do 401(k)-to-IRA rollovers would impact plan participants who rely on 401(k) providers for advice, Cerulli warns.
September 09, 2016
Lynn Tilton Asks Supreme Court for Stay on SEC Fraud ChargeFounder of RIA firm Patriarch Partners has asked Justice Ginsburg to stay SEC fraud proceeding, charging Commission's administrative law judge systems is unconstitutional.
September 09, 2016
SEC Snags Raymond James, Baird for Wrap Fee ViolationsThe two firms were fined by the SEC for failing to disclose trade-away commissions
September 09, 2016
Enforcement: SEC Charges Sex Products CEO With Fraud; FINRA Fines Short SellerSEC charged Empowered Products with promotional fraud; FINRA censured and fined Timber Hill for not closing fail-to-deliver positions.