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.
Fiduciary September 2015: A Historic Time for Fiduciary Advice
By Knut A. RostadReclaim your Advisers Act heritage, urges the Institute for The Fiduciary Standard, and tell your story to investors in the public square.
August 31, 2015
DOL Set to Issue Final Fiduciary RuleEven before the mid-August hearings at DOL headquarters, Labor Secretary Tom Perez confirmed: A final rule will be issued once the comment period expires.
August 31, 2015
For Once, Two Certainties in D.C.: New SEC Commissioners, DOL Fiduciary RuleThe New Year yes, Im talking about 2016 already will bring with it two certainties: A final fiduciary rule will be unveiled and new commissioners will arrive at the SEC.
August 31, 2015
IRS moves to kill ultra-skinny self-insured plansSelf-insured plans will have to provide "substantial" hospital and physician services coverage.
August 31, 2015
Form 8965: IRS revises PPACA mandate escape guideWorksheet designers have tried to use white space to make penalty calculations easier to do.
August 31, 2015
Cash Balance Plans, QLACs Gaining Thanks to New Treasury and IRS RegsNew rules are helping cash balance plans and QLACs become attractive retirement planning options.
August 31, 2015
DOL set to issue final fiduciary ruleLabor Secretary Perez says comments from hearings, other feedback will help shape final rule.
August 31, 2015
DOL set to issue final fiduciary ruleLabor Secretary Perez says comments from hearings, other feedback will help shape final rule.