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.
IRS Allows Mortgage Interest Deduction for Unmarried Couples
By Michael S. FischerThe decision could have far-reaching implications for many single taxpayers who co-own qualifying residences.
August 04, 2016
Berkshire Said to Draw Fed Scrutiny Over Wells Fargo InvestmentAgencies weigh whether insider-credit limits exceeded at bank; Buffetts 10% stake in Wells Fargo triggers more rules.
August 03, 2016
Goldman Fined $36M for Using Secret Fed Data to Score DealsFed says former Goldman managing director Joseph Jiampietro used ill-gotten information to drum up investment banking business from clients and prospects.
August 03, 2016
Proposed: The DOL Fiduciary Standard Is UnworkableOne expert believes that the advisor industry is ill equipped to grasp what it really means to operate under a fiduciary standard.
August 02, 2016
Securities America to Pay $1.5M for Fund OverchargesThe broker-dealer "disadvantaged" 1,514 clients who were eligible to buy share classes without extra charges, FINRA says.
August 02, 2016
DOL rule could erase indexed annuity gains next yearLIMRA Secure Retirement Institute expects strong Indexed annuity sales growth this year, followed by a downturn in 2017.
August 01, 2016
IRS fills ACA health coverage information holesThe Internal Revenue Service is getting ready to flesh out the rules that govern who tells the agency what kind of health coverage people have.
August 01, 2016
FINRA Accuses Rep of Fleecing Blind, Elderly WidowHank Mark Werner, who is accused of excessive and unsuitable trading, made more than $243,000 in commissions on the account, FINRA said.