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.
IRS faces PPACA service squeeze
By Allison BellA watchdog agency has published surprising data on the call centers' performance.
April 20, 2015
Volcker Urges Merging RegulatorsFormer Fed Chairman Paul Volcker is pushing for a change that would put at least one top regulator out of business.
April 20, 2015
FINRA Launches Helpline for Seniors"Older investors are only a phone call away from getting help with questions or concerns they may have regarding their investments," says FINRA's Axelrod.
April 17, 2015
IRS Has New Favorite People to AuditIf youre scared of an audit by the IRS, theres less to fear these days except for one group of taxpayers.
April 17, 2015
SEC OKs ‘Breakthrough’ 3-Tier Fund-of-Funds StructureThe SEC will allow Franklin Templeton to use a three-tier fund-of-funds structure, a move that one compliance firm says is a breakthrough.
April 17, 2015
SEC, FINRA Enforcement: Boiler Room Scheme Targeting Older Investors BustedThe SEC also barred an accounting officer who cost his company hundreds of millions of dollars in unauthorized trading and loans.
April 16, 2015
3 ways PPACA 1095-C reporting may zap your clientsA compliance specialist thinks the new system will force paper users to automate.
April 16, 2015
3 ways PPACA 1095-C reporting may zap your clientsA compliance specialist thinks the new system will force paper users to automate.