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.
Survey: advisors fear consequences of DOL fiduciary rule
By The LifeHealthPro EditorsAdvisors personal liability concerns are skyrocketing due to the increased volume and scope of internal and external regulations, the Cogent report notes.
September 02, 2016
Alarm Raised Over Treasury Push to Close Estate Tax ‘Loophole’Law firms and wealth managers are warning clients that a significant estate planning technique could be lost.
September 02, 2016
Enforcement: Lawyer Bilked Pro Athletes to Pay Alimony, Credit Cards, SEC SaysIn another action, FINRA fined Morgan Stanley for failing to stop a client's Ponzi scheme.
September 01, 2016
Employers remain unprepared for IRS reportingConfusion abounds regarding IRS reporting requirements and the 2020 implementation of the Cadillac tax, a 40 percent excise tax on high-cost health insurance plans.
September 01, 2016
Employers remain unprepared for IRS reportingConfusion abounds regarding IRS reporting requirements and the 2020 implementation of the Cadillac tax, a 40 percent excise tax on high-cost health insurance plans.
September 01, 2016
IRS posts 2014 individual return ACA tax dataAbout 8.1 million filers paid an average of $210 in shared responsibility penalties each.
September 01, 2016
IRS posts 2014 individual return ACA tax dataAbout 8.1 million filers paid an average of $210 in shared responsibility penalties each.
September 01, 2016
Third-Party Advisor Exam Rule May Come Before Election: Ex-SEC OfficialEnhanced liquidity risk measures for mutual funds may also be in the offing, former SEC Investment Management head Norm Champ says.