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.
IRS says more scrutiny of plan compliance controls in 2016
By Nick ThorntonThe Internal Revenue Service has said it will intensify compliance reviews of most classifications of employer-sponsored retirement plans. But other tax-exempt plans will also be subject to review.
October 06, 2015
SEC Needs to Move on Fiduciary Rule, Ex-SEC Chiefs SayAt TD Ameritrade Advocacy Leadership event, ex-SEC Chairwoman Mary Schapiro said, I feel very strongly the SEC needs to move forward now on fiduciary.
October 02, 2015
NAIFA CEO Kevin Mayeux: There's "no limit to what we can achieve"The association's new CEO discussed, among other things, NAIFA's full-court press against the Department of Labor's proposed fiduciary rule and new professional development programs.
October 01, 2015
Wagner bill halting DOL fiduciary rule passes House panelWagner said the DOL rule would bring "unintended or possibly intended" consequences to retirement savers.
October 01, 2015
Wagner bill halting DOL fiduciary rule passes House panelWagner said the DOL rule would bring "unintended or possibly intended" consequences to retirement savers.
October 01, 2015
Why SEC Is Cracking Down on 12b-1 Fees and ‘Distribution-in-Guise’Once again, the SEC provides "guidance" to advisors in the form of an enforcement action, this time a $40 million judgment against First Eagle.
October 01, 2015
Fed’s Dudley: Don’t Panic (Yet) About Market LiquiditySome commentators argue that overregulation is stoking a liquidity crisis, but the New York Fed president is skeptical for now.
October 01, 2015
FINRA says it gave failing grade to 208 test takers by mistakeThe Financial Industry Regulatory Authority mistakenly gave failing grades to 208 candidates for the Series 24 exam.