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.
DOL fiduciary rule survives omnibus bill
By Nick ThorntonMissing from the more than 1,000-page bill was a rider that would defund Labors ability to implement a new rule.
December 16, 2015
IRS posts major PPACA employer advice packetOfficials talk about 1095-C error relief, cafeteria plans, HRAs and FSA carryovers.
December 16, 2015
FINRA Broker Arbitration Task Force Suggests 51 ChangesThe panel's biggest conclusion: Arbitrators should be paid more.
December 16, 2015
Rep. Wagner Vows to Kill Off DOL Fiduciary Rule, Despite Spending Bill ResultThe spending bill also boosts SEC funding and advances a tax extenders package.
December 15, 2015
SEC Charges Advisory Firm With Fraud Over Illiquid Bond SalesAAM purchased dubious bonds on behalf of clients while aware that the sales would generate a fee for an affiliated BD, the SEC says.
December 14, 2015
GOP: We need PPACA cost-reduction subsidy informationUpton and Brady say the Obama administration has ignored two requests for program data.
December 14, 2015
DOL Fiduciary Rule, Tax Extenders Hang in Balance as Spending Bill Deadline LoomsThis week is the "most crucial" for Washington this year as a trifecta of events converge, says investment strategist Greg Valliere.
December 11, 2015
SEC Floats Rule to Rein In Funds’ Use of DerivativesPlan would create "modernized, comprehensive regulatory framework" to reflect the evolution of funds derivatives use, says SEC chief Mary Jo White.