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.
SEC Whistleblower Chief to Leave Agency
By Danielle AndrusSean McKessy, chief of the Office of the Whistleblower at the SEC, will leave the agency later this month.
July 08, 2016
DOL Fiduciary Hearing in Texas Set for Nov. 17The federal judge in Texas overseeing the three lawsuits filed in the state against the DOL's fiduciary rule will hear oral arguments from both sides.
July 08, 2016
FINRA Enforcement: RBC Failed to Report Reps' Wage GarnishmentsMeanwhile, New York-based Jefferies was censured and fined on TRACE execution time reporting failures.
July 07, 2016
How draft ACA tax regulations could affect your clientsThe IRS tries to iron out wrinkles and plug loopholes.
July 07, 2016
How draft ACA tax regulations could affect your clientsThe IRS tries to iron out wrinkles and plug loopholes.
July 07, 2016
DOL Clarifies Fiduciary Rule for Insurance CompaniesThe DOL has issued "technical corrections" to the fiduciary rule related to BICE; meanwhile, the House introduced a funding bill that would kill the rule.
July 07, 2016
Sen. Warren Blasts SEC Disclosure Initiative as Harmful to InvestorsThe attempt to simplify public company disclosure requirements is an "ill-conceived" waste of the SEC's time, Sen. Elizabeth Warren says in a letter.
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.