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.
House Panel Passes 8 Bills Including Adviser Act Reform, Crowdfunding
By Melanie WaddellThe House Financial Services Committee passes eight economic growth bills.
June 16, 2016
SEC Chief White: No fiduciary rule till after Obama departsThe SEC will watch the DOL fiduciary rule unfold to see if a "conflict develops," the SEC chief told Senate Banking Committee.
June 16, 2016
SEC Chief White: No fiduciary rule till after Obama departsThe SEC will watch the DOL fiduciary rule unfold to see if a "conflict develops," the SEC chief told Senate Banking Committee.
June 15, 2016
Court of Appeals Affirms SEC’s Reg A+, Rejecting States’ ArgumentsMassachusetts and Montana regulators argued that the "qualified purchaser" definition fails to protect investors.
June 15, 2016
IRS Re-Opens REIT Loophole for $58B NSAM DealTreasury says that its recently-announced regulations will be corrected to give effective date relief for conversions before Dec. 7, 2015.
June 14, 2016
No SEC Fiduciary Rule Till After Obama Departs: SEC Chief WhiteSEC will watch unfolding of DOL fiduciary rule to see if a conflict develops, the SEC chief tells Senate Banking Committee.
June 13, 2016
IRS explains ACA 1095-A correction noticesSome exchange users who get new 1095-A forms may have to refile their taxes.
June 13, 2016
IRS explains ACA 1095-A correction noticesSome exchange users who get new 1095-A forms may have to refile their taxes.