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.
5 things to know about selling annuities under the DOL fiduciary rule
By Marcia S. Wagner, J.D.From rules on proprietary products to how to determine whether an annuity is in a client's best interest, here are five things advisors should know.
June 06, 2016
PPACA employer mandate may start two-step fightsNichole Elliott, an IRS veteran, says exchange notices may serve as an early warning sign.
June 06, 2016
PPACA employer mandate may start two-step fightsNichole Elliott, an IRS veteran, says exchange notices may serve as an early warning sign.
June 06, 2016
Stephen L. Cohen, SEC Enforcer, to Leave After Nearly 12 YearsUnder Cohens leadership, the SEC brought enforcement actions against E-Trade and a $600M online Ponzi scheme.
June 03, 2016
How more regulation can help the insurance industryRegulation will help protect clients, thus improving the insurance industry's reputation, according to advisor Brenden Barkate.
June 03, 2016
How more regulation can help the insurance industryRegulation will help protect clients, thus improving the insurance industry's reputation, according to advisor Brenden Barkate.
June 03, 2016
IRS offers employers PPACA penalty estimatorThe agency is also encouraging employers to listen to PPACA penalty webinar recordings.
June 03, 2016
IRS offers employers PPACA penalty estimatorThe agency is also encouraging employers to listen to PPACA penalty webinar recordings.