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, Treasury Pave Way for Easier 401(k) Auto-Enrollment
By Melanie WaddellThe Treasury and IRS have issued guidance intended to facilitate automatic enrollment and contribution increases in 401(k) and similar retirement savings plans.
April 01, 2015
SEC Fines KBR for Rules Stifling WhistleblowersKBR Inc. violated the whistleblower protection rule by using "improperly restrictive language" in its confidentiality agreements, the SEC says.
April 01, 2015
Menendez said to face U.S. indictment as soon as todayThe senator has denied any wrongdoing in connection with a Medicare billing dispute.
March 31, 2015
Mastering the PPACA compliance mazePPACA and its blizzard of ever-changing regulations has created a challenging environment for even the most proficient advisors but it has also created opportunity.
March 31, 2015
FINRA Slaps 3 BDs for Consolidated Reporting FailuresInadequate reporting controls raise risk that "unscrupulous representatives will provide inaccurate and misleading reports to their clients to conceal fraud and theft, says FINRA's Bennett.
March 31, 2015
NAPA’s Deep Reservations About DOL’s Broker RulesNAPA says it opposes any regulation that would hamper an advisor's ability to help retiring clients shift their savings to an IRA.
March 30, 2015
Distressed Debt Maven Lynn Tilton Charged With Fraud by SECTilton and her firm, Patriarch Partners, hid poor loan performance from investors and collected almost $200 million in fees from CLO funds, SEC says.
March 27, 2015
Highways to PPACA tax penalty freedomFor some, Page 2 of the Instructions for Form 8965 may be as exciting as a Stephen King novel.