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.
Pimco Gets Wells Notice Over Total Return ETF Valuations
By Mary Childs, BloombergRegulators are looking at positions in mortgage-backed securities, performance disclosures and other matters.
August 03, 2015
FINRA Fines Aegis $950,000, Suspends Top ExecsThe charges are linked to unregistered penny stocks, sold by groups based in Turks & Caicos.
July 31, 2015
IRS sees PPACA Cadillac plan tax hot potatoThe agency talks about the "person that administers the plan benefits" in a new Section 4980I notice.
July 31, 2015
‘Dissident’ Candidate Elected to FINRA BoardBrian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
July 30, 2015
Court Rules There’s No 180-Day Limit on SEC InvestigationsAn appellate court has agreed with the SECs self-serving interpretation that Dodd-Frank's 180-day Wells notice limit was not an enforceable limit at all.
July 29, 2015
GAO: Many PPACA exchanges missed a tax credit reporting deadlineThe IRS says it now has the complete 2014 data available for most states.
July 29, 2015
SEC Pay-to-Play July 31 Effective Date a ‘Nonevent’: IAA ChiefThe SEC wont enforce ban on advisors use of third parties to solicit business from government entities until FINRA and the MSRB issue final rules.
July 28, 2015
Lawmakers Ask DOL to Start Over on Fiduciary RuleWe feel it is in the interest of our constituents that the DOL repropose this fiduciary regulation, lawmakers tell Labors Thomas Perez.