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.
Watchdog: IRS deployed PPACA system before completing full security checks
By Allison BellThe Coverage Data Repository stores family size and income data.
September 08, 2015
Meet the PPACA 1095 reporting form correctionsSending corrected forms may become a routine part of the filing process, a compliance specialist says.
September 08, 2015
Outgoing SEC Commish’s Chief of Staff Named to Credit Rating PostSmeeta Ramarathnam, Luis Aguilar's chief of staff, will work in the Office of Credit Ratings; Commissioner Gallagher plans to leave by Oct. 2.
September 08, 2015
SEC Fines Bankrate $15M for Accounting FraudSEC alleges Bankrate's former CFO, former accounting director and former VP of finance colluded to inflate earnings to meet Wall Street expectations.
September 07, 2015
Regulation a Bigger Threat to Advisors’ Business Than Market Crash: FSI SurveyCEOs of FSI member firms overwhelmingly agree that potential regulatory actions rank among the top concerns.
September 03, 2015
SEC, FINRA Enforcement: Philly Firm to Pay $21M for CDO FraudMeanwhile, FINRA fined a Georgia firm for failing to notice that one of its brokers was receiving wire transfers from a dead client.
September 02, 2015
House Panels to Hold Hearing on DOL Fiduciary RuleThe hearing could lead to the markup of a bill that would stop the DOL rule until the SEC comes out with its own.
September 02, 2015
IRS Budget Cut Opens Door for Cyberattacks, Tax Cheats: Sen. WydenWyden, ranking member of the Senate Finance Commitee, asks the IRS commissioner to make his case against a $470 million budget cut.