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.
How draft ACA tax regulations could affect your clients
By Allison BellThe IRS tries to iron out wrinkles and plug loopholes.
July 06, 2016
Anatomy of an IRS Phone ScamDespite the IRS' attempts to shut it down, this scam keeps reappearing. Make sure your clients don't fall for it.
July 05, 2016
The DOL fiduciary rule, duties to consumers, and the Best Interest Contract ExemptionUnder the new rule, advisors will need to document their advice and how it will help the client.
July 05, 2016
SEC to Put Investors’ Understanding of 12b-1 Fees to the TestSEC Investor Advocate Rick Fleming says the SEC will be "actively involved" in a program next year testing investors' understanding of mutual fund cost disclosures.
July 05, 2016
Big RIAs May Face Stress TestsThe SEC is working on a proposal to require stress tests for large investment advisors and investment companies, the agency's chief of staff says.
July 04, 2016
After the DOL Fiduciary Rule, Enter the Fee-Based Variable AnnuityThe long-suffering product class may be ripe for a comeback as hefty VA commissions are frowned upon under the DOL rule.
July 04, 2016
The DOL fiduciary rule, duties to consumers, and the Best Interest Contract ExemptionUnder the new rule, advisors will need to document their advice and how it will help the client.
July 01, 2016
FINRA Execs Continue to Earn Big BucksIncoming FINRA CEO Robert Cook, from law firm Cleary Gottlieb, won't take as drastic a pay cut as a transition to public service often entails.