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 posts new PPACA tax form drafts
By Allison BellThe new Form 1095-C draft looks similar to the August draft.
October 01, 2014
Inside the New York Fed: Secret recordings and a culture clashA confidential report and a fired examiners hidden recorder penetrate the cloistered world of Wall Streets top regulator and its history of deference to banks.
September 30, 2014
Revenge of the Compliance Nerds: The SEC’s Whistleblower ProgramWhat could possibly go wrong with the SEC's program encouraging compliance personnel at firms the SEC regulates to rat on their own firms?
September 30, 2014
IRS blesses split 401(k) rolloversThe IRS has recently cleared the pathway for high-income clients looking to maximize the value of their employer-sponsored retirement plan assets.
September 30, 2014
FINRA Releases New Version of Controversial CARDS PlanFINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.
September 29, 2014
The SEC and E-SignaturesOver the past few months, I have received several calls regarding electronic signatures. Can we? Should we? Are there any compliance-related issues?
September 29, 2014
SEC's White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come FirstSecurities and Exchange Commission Chairwoman Mary Jo White said in September that she has asked the SEC to place a high priority on its fiduciary rulemaking options list.
September 29, 2014
DOL Chief’s Potential Departure Wouldn’t Stop Fiduciary PlanIn the unlikely event Labor Secretary Perez replaced Holder as attorney general, "stalwarts" like Borzi would keep DOLs fiduciary fires burning, observers said.