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.
It’s time to rebrand “true fiduciary”
By Chris CarosaTo paraphrase Buddy (aka Syndrome, the bad guy) in The Incredibles, When everybodys a fiduciary [evil chuckle] no one is.
September 21, 2015
Last-minute filers narrow PPACA tax credit reporting gapReturns for 37 percent of the tax credits came in from March 27 through May 7.
September 21, 2015
FINRA’s 5 Biggest Fine Categories in First Half of 2015FINRA is on track to impose $75 million in fines this year, the second most since the financial crisis.
September 18, 2015
FINRA Floats Tougher Expungement RulesFINRA arbitration panels would have to provide a more detailed rationale for granting a rep's request to have black marks wiped off their BrokerCheck report.
September 17, 2015
IRS to expand temporary PPACA coverage reporting reliefThe move will help insurers and employers that leave out some people's Social Security numbers.
September 17, 2015
IRS to expand temporary PPACA coverage reporting reliefThe move will help insurers and employers that leave out some people's Social Security numbers.
September 17, 2015
FINRA Floats Plan to Help Block Elder ExploitationA rule under consideration would place a temporary hold on disbursements from accounts of elderly or disabled people if there is suspected financial exploitation.
September 17, 2015
SEC Removes Ratings References From Money Market Fund Rules"Reducing reliance on credit ratings to determine which securities money market funds can hold is an important part of our efforts," said SEC chief White.