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 offers 1095-A glitch relief
By Allison BellConsumers still waiting for forms should file an extension request by April 15.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 02, 2015
SEC's White Supports Fiduciary Rule for Brokers, Third-Party AuditsWhile many in the industry are applauding SEC Chairwoman Mary Jo White's declaration that she will push to ensure the agency extends a fiduciary rule for brokers, concerns remain that such a rule will be a long time in the making.
April 02, 2015
Why the SEC Doesn't Need to Regulate Succession PlanningJust when you thought there wasn't one more rule that the SEC could impose on advisory firms, here comes another.
April 02, 2015
Lining Washington's Pockets to the Tune of $1.4 BillionWall Street banks and other financial services groups poured large sums of money into Washington during the 20132014 campaign cycle, spending more than $1.4 billion to influence decision making in the nation's capital.
April 02, 2015
SEC Enforcement: Former Polycom Owner Faked Expense ReportsMeanwhile, two longtime friends were accused of an insider trading scheme involving kickbacks.
April 02, 2015
FINRA Bars Rep, BD for Misleading Private Placement InvestorsTony Thompson, who sold tenant-in-common deals from 2008-'12, was found to have misled investors on the financial condition of some investments.