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 Exam Chief Bowden to Exit
By Melanie WaddellThe OCIE head, Andrew Bowden, will return to the private sector.
April 06, 2015
IRS makes 401(k) auto enrollment easierNew safe harbor procedures allow sponsors to correct missed deferrals without having to notify the IRS.
April 03, 2015
IRS offers 1095-A glitch reliefConsumers still waiting for forms should file an extension request by April 15.
April 03, 2015
IRS offers 1095-A glitch reliefConsumers still waiting for forms should file an extension request by April 15.
April 03, 2015
SEC’s Ability to Deliver True Fiduciary Standard in Doubt: ReportInstitute for the Fiduciary Standard says the SEC believes "conflicts are routine and acceptable not inherently inconsistent with providing objective advice.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 03, 2015
SEC’s commitment to tougher broker rules questionedThe culture at the SEC, according to an advocate of a tough fiduciary standard, regards conflicts of interest as unavoidable.
April 02, 2015
SEC's White Supports Fiduciary Rule for Brokers, Third-Party AuditsWhile many in the industry are applauding SEC Chairwoman Mary Jo White's declaration that she will push to ensure the agency extends a fiduciary rule for brokers, concerns remain that such a rule will be a long time in the making.