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.
FINRA Fines Fidelity Over Fake Broker Who Scammed Seniors
By Emily ZulzFidelity failed to stop a woman posing as a Fidelity broker from stealing more than $1 million from nine customers, FINRA says.
December 17, 2015
IRS posts final PPACA affordability regulationsThe rules could have a big effect on wellness programs and cafeteria plans.
December 17, 2015
SEC Allows Third Avenue to Temporarily Halt RedemptionsThe firm canceled a controversial plan to freeze shareholder assets for a year or more.
December 17, 2015
DOL fiduciary rule survives omnibus billMissing from the more than 1,000-page bill was a rider that would defund Labors ability to implement a new rule.
December 17, 2015
DOL fiduciary rule survives omnibus billMissing from the more than 1,000-page bill was a rider that would defund Labors ability to implement a new rule.
December 16, 2015
The SEC Has a History of Punishing Advisors for Others' MisstepsThe SECs action against Virtus for negligence by a subadvisor shows why investment advisors should take no comfort from the SECs setbacks in court.
December 16, 2015
IRS posts major PPACA employer advice packetOfficials talk about 1095-C error relief, cafeteria plans, HRAs and FSA carryovers.
December 16, 2015
IRS posts major PPACA employer advice packetOfficials talk about 1095-C error relief, cafeteria plans, HRAs and FSA carryovers.