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.
Why the SEC Doesn't Need to Regulate Succession Planning
By Thomas D. GiachettiJust when you thought there wasn't one more rule that the SEC could impose on advisory firms, here comes another.
April 02, 2015
FINRA Bars Rep, BD for Misleading Private Placement InvestorsTony Thompson, who sold tenant-in-common deals from 2008-'12, was found to have misled investors on the financial condition of some investments.
April 02, 2015
IRS, Treasury Pave Way for Easier 401(k) Auto-EnrollmentThe Treasury and IRS have issued guidance intended to facilitate automatic enrollment and contribution increases in 401(k) and similar retirement savings plans.
April 02, 2015
Distressed Diva Tilton Girds for SEC Battle Over Complex LoansThe philanthropist and distressed-company investor is suing the SEC to move her case out of administrative court.
April 01, 2015
3 PPACA premium tax credit program weak pointsWatchdog agencies say the law is not clear about refund appropriation funding authority.
April 01, 2015
SEC Fines KBR for Rules Stifling WhistleblowersKBR Inc. violated the whistleblower protection rule by using "improperly restrictive language" in its confidentiality agreements, the SEC says.
April 01, 2015
Menendez said to face U.S. indictment as soon as todayThe senator has denied any wrongdoing in connection with a Medicare billing dispute.
March 31, 2015
Mastering the PPACA compliance mazePPACA and its blizzard of ever-changing regulations has created a challenging environment for even the most proficient advisors but it has also created opportunity.