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 Chief White: No fiduciary rule till after Obama departs
By Melanie WaddellThe SEC will watch the DOL fiduciary rule unfold to see if a "conflict develops," the SEC chief told Senate Banking Committee.
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.
June 13, 2016
Silicon Valley’s Audacious Plan to Create a New Stock ExchangeThe author of The Lean Startup and his team are in early talks with the SEC.
June 13, 2016
Robert Cook, Former SEC Exec, Named New FINRA ChiefRobert Cook, who served as head of SEC Division of Trading & Markets, replaces Richard Ketchum.
June 12, 2016
DOL fiduciary rule faces fresh annuity industry lawsuitsThe fourth and fifth legal challenges to the rule were filed Thursday by the Indexed Annuity Leadership Council as well as Market Synergy Group in Kansas.
June 12, 2016
DOL fiduciary rule faces fresh annuity industry lawsuitsThe fourth and fifth legal challenges to the rule were filed Thursday by the Indexed Annuity Leadership Council as well as Market Synergy Group in Kansas.