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.
IRS: 2014 PPACA exchange users received $30 billion in subsidies
By Allison BellThe exchange total amounts to about half of spending on the earned income tax credit program.
April 04, 2016
Owe back taxes? Lose your passportA new passport-revocation rule "could be hugely horrible for people who live overseas," says David McKeegan.
April 04, 2016
What Americans really think about tax planningMake sure to read this article while sitting down: Some of these responses are not for the faint of heart.
April 04, 2016
What Americans really think about tax planningMake sure to read this article while sitting down: Some of these responses are not for the faint of heart.
April 01, 2016
DOL fiduciary rule said ready for release April 6The Department of Labor will release its finalized fiduciary rule on Wednesday, April 6, according to reporting in the Wall Street Journal.
April 01, 2016
DOL Fiduciary Rule Likely Coming WednesdayLawyer Steve Saxon hopes DOL will talk to the industry soon so that folks can get guidance on some critical questions.
April 01, 2016
Enforcement: Fund Manager Paid Barred Nephew’s Bills With Investor Money, SEC SaysIn another action, a former market analyst and TV news commentator agreed to settle charges that he and his company fraudulently promoted a penny stock.
March 31, 2016
Sen. Warren Calls for SEC Inquiry on Firms' DOL Fiduciary Double TalkFinancial companies may have violated securities laws with contradictory statements to lawmakers and investors, Sen. Elizabeth Warren says.