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.
SEC OKs ‘Breakthrough’ 3-Tier Fund-of-Funds Structure
By Melanie WaddellThe SEC will allow Franklin Templeton to use a three-tier fund-of-funds structure, a move that one compliance firm says is a breakthrough.
April 16, 2015
3 ways PPACA 1095-C reporting may zap your clientsA compliance specialist thinks the new system will force paper users to automate.
April 16, 2015
SEC Charges Ex-JPMorgan Advisor With Stealing $20M From ClientsMichael Oppenheim told clients he would buy them safe muni bonds but instead lost their money in "highly unprofitable" options trading, the SEC said.
April 16, 2015
4 ways wealthy people can still hide moneyClients are getting cautious about aggressive tax planning, especially if it involves any overseas transactions.
April 16, 2015
4 ways wealthy people can still hide moneyClients are getting cautious about aggressive tax planning, especially if it involves any overseas transactions.
April 16, 2015
FINRA OKs Changes to Communications Rules, Seeks Public CommentFINRA will also file with the SEC to charge a $115 fee for the MSRB's new muni advisor qualification exam.
April 15, 2015
Court blocks PPACA congressional benefits suitA 7th Circuit panel says a senator has no standing to challenge OPM's implementation of the law.
April 15, 2015
Court blocks PPACA congressional benefits suitA 7th Circuit panel says a senator has no standing to challenge OPM's implementation of the law.