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.
Enforcement: Lawyer Bilked Pro Athletes to Pay Alimony, Credit Cards, SEC Says
By Marlene Y. SatterIn another action, FINRA fined Morgan Stanley for failing to stop a client's Ponzi scheme.
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.
September 01, 2016
Texas judge denies all but 2 briefs in DOL fiduciary hearingFinancial Planning Coalition, American Association for Justice briefs allowed.
September 01, 2016
Texas judge denies all but 2 briefs in DOL fiduciary hearingFinancial Planning Coalition, American Association for Justice briefs allowed.
August 31, 2016
Will DOL Fiduciary Rule Drive RIAs to — or From — BDs?Broker-dealers have an opportunity to ease RIAs compliance burden brought by the DOL fiduciary rule, the 2016 Broker-Dealers of the Year say.
August 31, 2016
Texas Judge Denies All but 2 Briefs in DOL Fiduciary HearingThe two briefs don't repeat arguments made by either party in the case, the judge said; six briefs were rejected.