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.
SEC Investor Advocate to Congress: 'Appropriate Limits' Needed in Elder Fraud Rules
By Melanie WaddellSEC's Fleming tells lawmakers that any new authority given BDs and advisors "to intervene in clients accounts" must include "limits on that authority."
December 31, 2015
Critics Blast IRS Plan to Collect Donors’ Personal DataThe proposal would help substantiate donations for tax purposes, but nonprofits worry it could deter donors and risk identity theft.
December 31, 2015
Clock Ticking on Advisors' Compliance With SEC Pay-to-Play RulesNow that FINRA, MSRB have filed pay-to-play rules with SEC, compliance with third-party solicitor provision at hand.
December 30, 2015
Calls to FINRA Senior Helpline Uncover Emerging ScamsThe helpline has aided FINRA in identifying new scams, including tax fraud, bogus lottery winnings and binary options.
December 29, 2015
New Year brings regulatory roulette for advisors, BDsNew rules and new faces add to the uncertainty of which new compliance challenges will take hold in 2016.
December 29, 2015
IRS extends some PPACA reporting requirements for employersEmployers will have two extra months to get 1095-C's to current and former employees.
December 29, 2015
FINRA Fines Barclays Nearly $14M Over Mutual Fund FailuresBarclays Capital was charged with suitability violations, including 'switching' and breakpoint discount violations.
December 28, 2015
New Year brings regulatory roulette for advisors, BDsNew rules and new faces add to the uncertainty of which new compliance challenges will take hold in 2016.