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.
GOP Reps Demand Proof DOL Didn’t Go It Alone on Fiduciary
By Melanie WaddellLawmakers tell Secretary Perez to hand over SEC correspondence, but advocates say Congress efforts to stall the fiduciary redraft are futile.
March 04, 2015
IRS Wants Your Advice About Obamacare Cadillac Plan TaxThe value limits can be adjusted even in 2018.
March 04, 2015
New FINRA Rule to Have ‘Detrimental Impact’ on Arb Process: SutherlandThe rule, just approved by the SEC, could cause a shortage of public arbitrators, a lawyer says.
March 04, 2015
GOP Lawmakers: DOL Should Wait Its Turn on FiduciarySEC, not DOL, is the agency responsible for writing fiduciary rules for broker-dealers, the Senate and House appropriations chairmen tell the White House.
March 03, 2015
IRS vs. PPACA: What the GAO saidHealth-law-related work could occupy about 3 percent of the agency's workforce in 2016.
March 03, 2015
U.S. Chamber of Commerce Vows to Use ‘Every Tool’ Against DOL Fiduciary PlanMeanwhile, ex-EBSA chief Brad Campbell hopes the plan won't block investors from receiving IRA rollover advice.
March 02, 2015
IRS’ 12 Tax Scams to Avoid in 2015: The Dirty DozenFrom lower-income taxpayers to the ultra-high net worth, anyone can fall victim to a tax scam or perpetrate one.
March 02, 2015
Fight Back Against ‘Aggressive’ ExamsYou have gotten the call, and the SEC is coming. What now? Are you ready? How do you prepare?