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.
Technology can help advisors deal with impending DOL fiduciary rule
By Peggy BresnickWith the proposed new rule the annuities market will experience the most tectonic shift of any other market.
March 25, 2016
SEC Approves FINRA’s Broker Comp Disclosure RuleUnder the rule, customers will have a more complete picture of the potential implications of a decision to transfer assets when a broker switches firms.
March 25, 2016
FINRA Enforcement: CEO Used Company Money to Buy His Relatives’ ArtworkIn another action, FINRA fined Ameriprise for failing to send account records to some customers.
March 24, 2016
SEC's 12b-1 Crackdown to Go From Trickle to DelugeRecent cases should leave no doubt that the SEC is focused on identifying advisors it believes are making investment decisions designed to generate more fees.
March 24, 2016
Young, broke, and scared of the IRS: the millennial tax trapThose 18 to 34 are more afraid of filing their taxes than any other generation. The key to dealing with the agency: Don't ignore it.
March 24, 2016
Young, broke, and scared of the IRS: the millennial tax trapThose 18 to 34 are more afraid of filing their taxes than any other generation. The key to dealing with the agency: Don't ignore it.
March 24, 2016
H.R. 4723: House considers PPACA tax credit payback billLynn Jenkins says consumers who get excess exchange plan subsidy money should pay the government back.
March 24, 2016
Novartis to settle SEC's China bribe case for $25 millionThe SEC says prescription incentives included payment of cover charges at a strip club.