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.
Experts say DOL rule will remain largely unchanged
By Emily Holbrook"There are a lot of unintended consequences and a lot of problems with the rule," said one LIMRA panelist.
October 23, 2015
SEC Fiduciary Rule Still a Long Way OffThe SEC's Investment Management Division, tasked with drafting a uniform fiduciary recommendation, is still working on it, Director David Grim told lawmakers.
October 23, 2015
View: Jeb Bush is more conservative than his brotherThe author says a Bush proposal would create a much more competitive individual health market.
October 23, 2015
Treasury, IRS Seek to Clarify Same-Sex Marriage Tax RulesThe proposed rules provide more clarity on same-sex couples tax treatment in light of two Supreme Court decisions.
October 23, 2015
Monopolies Don't Give Us Nice ThingsWhy in the presidential debates is there no discussion of the proper role of regulation in modern capitalism?
October 23, 2015
FINRA Enforcement: Barclays Fined $800,000 Over Reporting FailuresMeanwhile, First Southwest Co. was censured, fined for failing to deliver timely ETF prospectuses.
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.