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.
Tax preparers return to PPACA fog
By Allison BellCoverage notice delays may be causing some consumers to wait longer to do their taxes.
March 04, 2016
Why We Fear the IRSThe IRS is incredibly powerful, and the tax code is incredibly opaque.
March 04, 2016
Obama to meet with financial regulators ahead of fiduciary ruleThe Obama administration is readying a fiduciary rule that will require brokers to put their clients best interests first.
March 03, 2016
Enforcement: SEC Suspends Rep for Sharing Client InfoIn another action, a jury in the Southern District of New York found two brokers guilty of insider trading.
March 03, 2016
FINRA Mulls Crackdown on Arb Award DeadbeatsFINRA members "are barred" if they dont pay, Ketchum told a Senate panel. However, if firms go broke or leave FINRA, the regulator loses jurisdiction.
March 03, 2016
3 Steps to Prepare for DOL Fiduciary RuleSEI Advisor Network execs say advisors arent preparing for the new fiduciary rule and warn them not to get taken by surprise.
March 02, 2016
U.S. economy expands with wide range of wage growth, Fed saysFederal Reserve report shows that the U.S. economy continued to expand, while wage growth was described as varying widely, from flat to strong.
March 02, 2016
House Bill to Weaken SEC Enforcement Moves AheadBill would let accused parties opt out of SEC proceedings, leaving the regulator to re-file in court or drop charges, Americans for Financial Reform says.