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.
Bill Halting DOL Fiduciary Rule to Move Ahead
By Melanie WaddellHouse Financial Services Chairman Jeb Hensarling says he'll advance Rep. Ann Wagner's Retail Investor Protection Act as it "will stop" the DOL's "misguided" fiduciary rule.
September 09, 2015
Watchdog: IRS deployed PPACA system before completing full security checksThe Coverage Data Repository stores family size and income data.
September 09, 2015
SEC: ‘Financial Myth Buster’ Dawn Bennett Spun a Myth About Her Firm’s AssetsThe host of a radio show, "Financial Myth Busting With Dawn Bennett," and her firm are accused of inflating their AUM.
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
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.