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 Fines Virtus $16.5M for Failing to Probe F-Squared’s False Performance Claims
By Bernice NapachDuring the time Virtus used the false and misleading ads, its AlphaSector fund assets grew from $191 million to $11.5 billion, according to the SEC.
November 13, 2015
Lockton: IRS survey may hint at PPACA employer reporting delayCompliance specialists found clicking on a government website user survey invitation paid off.
November 13, 2015
Slim Chance to Stop DOL Fiduciary Rule, but Brokers Must Keep Fighting: Rep. MulvaneyMulvaney told Commonwealth reps to tell senators that we will no longer be able to serve middle-class people who need us the most.
November 13, 2015
House Republican caucus drafting ‘Contract With America II’Priorities include repealing PPACA and the estate tax, and changing Medicare and Social Security.
November 13, 2015
House Republican caucus drafting ‘Contract With America II’Priorities include repealing PPACA and the estate tax, and changing Medicare and Social Security.
November 12, 2015
Republicans slam Wall Street but won't regulate itThe candidates are caught between donors who finance their campaigns and the many voters who are still angry that their tax dollars bailed out the banks.
November 12, 2015
Republicans slam Wall Street but won't regulate itThe candidates are caught between donors who finance their campaigns and the many voters who are still angry that their tax dollars bailed out the banks.
November 12, 2015
Watchdog: IRS used bad Java in PPACA systemTIGTA says the system had problems with checking the math for a health care contribution item.