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.
More than 5% of early tax filers owed PPACA penalties
By Allison BellAs of early March, 47 million filers had told the IRS that all family members had MEC.
April 18, 2016
Morgan Stanley Says DOL Fiduciary Impact ‘Manageable’ as Q1 Profits Drop 53%Net income for the wealth management unit declined 8% from last year to $493 million.
April 18, 2016
SEC Unveils Online Tool to Help Calculate EDGAR Registration FeesThe Registration Fee Estimator is designed to improve the accuracy of fee calculations for common filings like IPOs and closed-end funds.
April 18, 2016
4 practical steps to dealing with the DOL fiduciary ruleWhen the DOL Fiduciary Rule became law several weeks ago, commission-based advisor/client relationships were effectively transformed.
April 18, 2016
4 practical steps to dealing with the DOL fiduciary ruleWhen the DOL Fiduciary Rule became law several weeks ago, commission-based advisor/client relationships were effectively transformed.
April 15, 2016
FINRA’s Ketchum Praises Final DOL Fiduciary Rule—Sort OfThe final rule is much better than previous proposal in some areas, Ketchum says at Brookings Institution event.
April 15, 2016
Enforcement: SEC Freezes Ski Resort’s Assets on Fraudulent EB-5 OfferingsIn another action, the SEC charged a research analyst with insider trading in his moms account.
April 14, 2016
DOL fiduciary rule: The good, the bad and the uglyU.S. Chamber of Commerce and ERISA lawyer Brad Campbell detail the positive and negative aspects of the final rule.