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.
Tax and penalty trap: IRS clamps down on 60-day IRA rollovers
By Ed SlottBeginning January 1, 2015, IRA owners can only do one 60-day rollover per year, for all of their IRAs.
February 13, 2015
SEC Names Pamela Dyson Chief TechnologistAs chief information officer, Dyson will work with Chairwoman White, commissioners and staffers to incorporate technology into SEC programs.
February 13, 2015
Enforcement Roundup: Ex-CCO Sues Over ‘Defamatory’ Form U5In another action, the SEC charged five offshore entities with offering and selling unregistered penny stocks.
February 12, 2015
Form 1095-C: PPACA employer reporting demonsThe little monsters lurking in the paperwork could jump on your back in early 2016.
February 12, 2015
SEC to Mull Accredited Investors, Advisor Succession Plan RulesAt Investor Advisory Committee meeting, Mary Jo White talks of fiduciary rule, advisor exams, succession plans and TDF rules.
February 11, 2015
Fed Interest Rate Decision Could Happen in MarchThe March meeting of the FOMC will be critical to its communications with the public on interest rates.
February 11, 2015
FINRA Hires SEC Data Analytics Guru Kurtas for New PostKurtas will focus on improving how FINRA analyzes and uses the data it currently gathers from firms, the self-regulator says.
February 11, 2015
Fed decision on interest rates could happen in MarchThe March meeting of the FOMC will be critical to its communications with the public on interest rates.