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.
Highways to PPACA tax penalty freedom
By Allison BellFor some, Page 2 of the Instructions for Form 8965 may be as exciting as a Stephen King novel.
March 27, 2015
FINRA Enforcement: Oppenheimer to Pay $3.75M for Failure to Rein In BrokerMeanwhile, FINRA fined Ameriprise Financial over a rep who hid a customer complaint.
March 26, 2015
IRI: VA Summary Prospectus Rule From SEC May Finally Be ComingIRI, the annuity trade group, also sees the DOL's fiduciary plan advancing in early April.
March 26, 2015
SEC Chair Wants Activist Fights to Be NicerM&A lawyers and bankers want to know what the SEC is going to do about various activist fights. Chairwoman White's speech offers a few clues.
March 25, 2015
FINRA Hits Firm for $916,000 Over Illegal Short SalesFirst New York is being sanctioned for shorting shares ahead of 14 public offerings.
March 24, 2015
SEC Chief White: Fiduciary Rulemaking Just Getting StartedAny such rule is still a 'whether' question," SEC chairwoman says, pointing out she is only "one of five votes" on the commission.
March 23, 2015
NAPA’s deep reservations about DOL’s broker rulesThe organization fears regulators will make it illegal for advisors to talk to participants about their best options at a critical moment in their lives.
March 23, 2015
IRS: A wrong PPACA exchange tax form is better than noneExchange plan enrollees should wait until they have 1095-As to file their taxes.