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.
SEC Seeks Comments on Listing, Trading of New, Complex ETFs
By Melanie WaddellThe agency has seen a big increase in requests to approve novel exchange-traded products and is concerned about effects on retail investors.
June 10, 2015
DOL’s proposal significantly affects annuitiesDOLs proposal would limit the exemption to the sale of insurance contracts that are not securities under securities law.
June 10, 2015
DOL’s proposal significantly affects annuitiesDOLs proposal would limit the exemption to the sale of insurance contracts that are not securities under securities law.
June 10, 2015
IRS Deadlines Loom for Taxpayers With Offshore AccountsIRS reminds taxpayers of important June deadlines for FATCA and FBAR filings.
June 10, 2015
Republicans chop IRS budget again, setting up clash with ObamaU.S. House Republicans are proposing a 7.7 percent cut to the IRS budget, setting the boundaries for a budget standoff over the next few months.
June 10, 2015
Republicans chop IRS budget again, setting up clash with ObamaU.S. House Republicans are proposing a 7.7 percent cut to the IRS budget, setting the boundaries for a budget standoff over the next few months.
June 09, 2015
What agents have to know about IRS PPACA problemsTaxpayers have trouble getting paperwork in on time. So, it turns out, do public exchanges...
June 09, 2015
SEC Loses Fraud Case Against Robare GroupJudge dismisses fraud charges related to conflicts of interest against the Houston-based firm.