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.
White House memo offers a peek at DOL fiduciary strategy
By Melanie WaddellA memo from two White House staffers argues that "brokers" are costing retirement plan participants billions.
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.
January 21, 2015
SEC Investment Management Director Champ to ExitChamp played a key role in the SECs money market fund reforms and instituted regular IM Guidance Updates. He will teach at Harvard Law.