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.
3 things NAHU told the IRS about ACA premium tax credits
By Allison BellJanet Stokes Trautwein says regulators need to understand how lost many exchange users are.
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.
September 28, 2016
SEC Names Norberg Whistleblower Office ChiefJane Norberg was named as the new chief for the SEC's Office of the Whistleblower, which she helped set up in 2011.
September 28, 2016
UBS Settles With SEC Over Sales of ‘Complex Products’SEC says the wirehouse must repay 8,700 investors over $8 million and pay a fine for not reasonably training its advisors.
September 28, 2016
Got DOL rule compliance questions? IRI training program has answersThe Insured Retirement Insitute and RegEd are developing training modules to help advisors comply with the Labor Department's fiduciary rule.
September 28, 2016
Got DOL rule compliance questions? IRI training program has answersThe Insured Retirement Insitute and RegEd are developing training modules to help advisors comply with the Labor Department's fiduciary rule.