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.
PE Firm KKR to Pay SEC $30M for Misallocating ‘Broken Deal’ Expenses
By Emily ZulzThis is the first SEC case to charge a private equity advisor with misallocating broken deal expenses, said SEC's enforcement chief.
June 26, 2015
Beyond the rhetoric: Three real life impacts of the DOL ruleDespite the complexity and contradictory requirements of the DOL, its impact on consumers can be explained fairly concisely and its harm is clear.
June 26, 2015
SEC Enforcement: Oil CEO Charged With Bilking Investors via Spam EmailsMeanwhile, the microcap promoter who got in trouble for a pump-and-dump scheme involving Daniel Rudy Ruettiger's company is in the SEC's sights again.
June 26, 2015
4 Steps to Transfer Deceased Parents’ Brokerage Assets: FINRAAfter taking a flood of calls from children of deceased parents on its new senior helpline, FINRA issues an alert on transferring brokerage assets.
June 26, 2015
Senators Think Stock Buybacks Might Be ManipulativeSome politicians, like Sens. Elizabeth Warren and Tammy Baldwin, think that stock buybacks are bad and that the SEC should forbid them as market manipulation.
June 25, 2015
The catch in the Supreme Court's Obamacare rulingThe decision on King v. Burwell establishes a principle that is likely to haunt future presidents.
June 24, 2015
Old IRS tables clash with current annuity pricingWhen old IRS tables are combined with current annuity practices, the actual annuity annual income can be completely non-taxable.
June 24, 2015
Old IRS tables clash with current annuity pricingWhen old IRS tables are combined with current annuity practices, the actual annuity annual income can be completely non-taxable.