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.
3 steps to prepare for DOL fiduciary rule
By Emily ZulzSEI Advisor Network execs say advisors arent preparing for the new fiduciary rule.
March 10, 2016
PATH Act: New Tax Rules for Businesses for 2015 Returns, 2016 PlanningThe PATH Act, signed into law on Dec. 18, contains more than 100 tax provisions. Here is a roundup of the key provisions for businesses.
March 10, 2016
Why SEC Fiduciary Rule May Be ‘Unattainable’Dueling divisions and split commissioners complicate this rulemaking, former SEC executive Bob Plaze says.
March 09, 2016
House Speaker Ryan continues to assail DOL fiduciary ruleThe congressman's tongue-in-cheek fi-du-ci-a-ry definition claims rule would "hurt millions of hardworking Americans."
March 09, 2016
IRS: Crooks want your clients' W-2sCriminals are trying to trick payroll and HR workers into sharing employee data, officials say.
March 09, 2016
IRS: Crooks want your clients' W-2sCriminals are trying to trick payroll and HR workers into sharing employee data, officials say.
March 09, 2016
Cyprus Firm, Founder to Pay $11M to SEC, CFTC Over Binary Options SalesBanc de Binary, its founder and three affiliates failed to register as a broker-dealer before communicating directly with U.S. clients, the SEC says.
March 08, 2016
Tax preparers return to PPACA fogCoverage notice delays may be causing some consumers to wait longer to do their taxes.