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.
FINRA Enforcement: CEO Used Company Money to Buy His Relatives’ Artwork
By Marlene Y. SatterIn another action, FINRA fined Ameriprise for failing to send account records to some customers.
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.
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.
March 23, 2016
Are DOL Fiduciary Foes Protecting the Little Guy? Financial Engines CIO Cries FoulChristopher Jones says opposition to the fiduciary rule is not really about how it impacts small investors but firms' desire to sell them high-fee products.
March 23, 2016
Dalbar’s Harvey: DOL Fiduciary Rule’s Cost to Brokers’ BusinessesThe Dalbar CEO talks to ThinkAdvisor about how the rule will change brokers day-to-day jobs and how those who embrace their fiduciary duties will profit.
March 22, 2016
Perez: DOL took fiduciary rule comments seriously, made changesConflict of interest rule should emerge from OMB in near future, Perez tells lawmakers.