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.
Treasury, IRS Seek to Clarify Same-Sex Marriage Tax Rules
By Melanie WaddellThe proposed rules provide more clarity on same-sex couples tax treatment in light of two Supreme Court decisions.
October 23, 2015
9 Must-Dos for Compliance Pros From SECSEC Chief of Staff Andrew Buddy Donohue challenges CCOs to be proactive and reassures them that the regulator is not out to get them.
October 22, 2015
The PPACA employee-counting time spongeA Gallagher health specialist is having many conversations about Form 1095-C.
October 22, 2015
SEC Actions Up 23% in 2015The agency is not slowing down, says enforcement chief Ceresney.
October 21, 2015
IRS sets 2016 LTCI tax deduction limitsThe amounts of premiums eligible will increase from 2.1 percent to about 2.8 percent.
October 20, 2015
White House Nominates Peirce, Fairfax as New SEC CommissionersIf Hester Peirce and Lisa Fairfax are confirmed by the Senate, Commissioner Michael Piwowar would be the only man on the five-member panel.
October 20, 2015
DOL to ‘Simplify and Streamline’ Fiduciary Rule: BorziDOL is looking for constructive comments on ways to improve the rule and has found them, Borzi said at ARA conference.
October 20, 2015
Cetera, Commonwealth Among 12 Firms to Pay FINRA $6.6M Over UIT Sales Charges"Firms need to ensure that their registered representatives are providing customers the sales charge discounts to which they are entitled," says FINRA enforcement chief Bennett.