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 waives penalties for late payments linked to PPACA
By Richard RubinNotice 2015-09 does not affect filers' obligations to pay back any excess tax credit subsidies received.
January 26, 2015
Housing Market May Never RecoverDespite government aid, rock-bottom interest rates and enthusiastic overseas buyers, housing may never spring back to its pre-recession levels.
January 23, 2015
After-tax plan funds following IRS Notice 2014-54: basic rulesSince the IRS notice was released, many advisors have been unclear about the basic rules of after-tax plan funds.
January 23, 2015
After-tax plan funds following IRS Notice 2014-54: basic rulesSince the IRS notice was released, many advisors have been unclear about the basic rules of after-tax plan funds.
January 23, 2015
White House Memo Offers a Peek at DOL Fiduciary StrategyTwo top Obama economic advisors write in an internal memo that DOL should tighten broker rules; they share some details from the long-awaited fiduciary redraft.
January 22, 2015
Enforcement Roundup: Wells Fargo, JPMorgan Slammed Over Mortgage KickbacksMeanwhile, the SEC charged a Fort Lauderdale-based advisory fund manager and his firm with running a Ponzi scheme to buy jewelry, cars and a house.
January 22, 2015
FINRA Arbitration Data Under Fire AgainPublic interest groups prod FINRA's Arbitration Task Force to push for more transparency.
January 21, 2015
S&P Suspended, Fined Almost $80 Million in SEC, State CasesStandard & Poors agreed to be suspended from rating the biggest part of the commercial-mortgage bond market over claims it bent criteria to win business.