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.
Second Round of Cyber Exams Coming in Summer: SEC’s Jarcho
By Melanie WaddellSEC will also resume exams of alternative mutual funds, looking at 30 to 40 funds across 25 to 30 sponsors.
March 05, 2015
Advisor Exam Changes Afoot: IAA’s Chief LobbyistIAA's Neil Simon says exam changes are coming for the same reason the DOL fiduciary rule won't languish at OMB: the political pressure is on.
March 04, 2015
IRS Wants Your Advice About Obamacare Cadillac Plan TaxThe value limits can be adjusted even in 2018.
March 04, 2015
New FINRA Rule to Have ‘Detrimental Impact’ on Arb Process: SutherlandThe rule, just approved by the SEC, could cause a shortage of public arbitrators, a lawyer says.
March 04, 2015
GOP Lawmakers: DOL Should Wait Its Turn on FiduciarySEC, not DOL, is the agency responsible for writing fiduciary rules for broker-dealers, the Senate and House appropriations chairmen tell the White House.
March 03, 2015
IRS vs. PPACA: What the GAO saidHealth-law-related work could occupy about 3 percent of the agency's workforce in 2016.
March 03, 2015
U.S. Chamber of Commerce Vows to Use ‘Every Tool’ Against DOL Fiduciary PlanMeanwhile, ex-EBSA chief Brad Campbell hopes the plan won't block investors from receiving IRA rollover advice.
March 02, 2015
IRS’ 12 Tax Scams to Avoid in 2015: The Dirty DozenFrom lower-income taxpayers to the ultra-high net worth, anyone can fall victim to a tax scam or perpetrate one.