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, FINRA Enforcement: Philly Firm to Pay $21M for CDO Fraud
By Marlene Y. SatterMeanwhile, FINRA fined a Georgia firm for failing to notice that one of its brokers was receiving wire transfers from a dead client.
September 01, 2015
Fiduciary September 2015: A Historic Time for Fiduciary AdviceReclaim your Advisers Act heritage, urges the Institute for The Fiduciary Standard, and tell your story to investors in the public square.
September 01, 2015
TIGTA sees big PPACA tax credit reporting gapIn late March, only about 40 percent of the subsidy users had filed the proper forms, officials say.
August 31, 2015
A Message From the SEC—Listen Up!A recent settlement with a firm in Chicago that had an untrained CCO highlights the priority advisors must give compliance in their firms.
August 31, 2015
DOL Set to Issue Final Fiduciary RuleEven before the mid-August hearings at DOL headquarters, Labor Secretary Tom Perez confirmed: A final rule will be issued once the comment period expires.
August 31, 2015
For Once, Two Certainties in D.C.: New SEC Commissioners, DOL Fiduciary RuleThe New Year yes, Im talking about 2016 already will bring with it two certainties: A final fiduciary rule will be unveiled and new commissioners will arrive at the SEC.
August 31, 2015
IRS moves to kill ultra-skinny self-insured plansSelf-insured plans will have to provide "substantial" hospital and physician services coverage.
August 31, 2015
Form 8965: IRS revises PPACA mandate escape guideWorksheet designers have tried to use white space to make penalty calculations easier to do.