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 Blesses 401(k) Rollovers With Pre-, After-Tax Contributions
By Robert Bloink, William H. ByrnesNew IRS rules change the treatment of after-tax retirement plan assets upon distribution, providing flexibility and certainty for clients with both pretax and after-tax contributions.
September 26, 2014
SEC Charges Marketing Company With International Ponzi SchemeAn international pyramid scheme raised more than $129 million worldwide, the SEC said, charging two execs with fraud.
September 26, 2014
SEC Busts 4 Insurance Agents in Scam Against SeniorsSEC charges four insurance agents for unlawfully selling securities in what turned out to be a multimillion-dollar fraud targeting retirees.
September 26, 2014
Anti-Money Laundering and Advisors: SEC Compliance vs. Best PracticesYes, technically there is no requirement imposed upon investment advisors to maintain an anti-money laundering program, but try telling that to your SEC examiner.
September 25, 2014
SEC Enforcement: Flurry of Charges Over Phony Health Food CompanyMeanwhile, Silicon Valley-based Saba Software and two of its former executives were charged with a fraudulent accounting scheme.
September 25, 2014
A word of caution as open enrollment approachesPeople who plan to shop HealthCare.gov should understand the rules or risk facing serious consequences down the road.
September 24, 2014
IRS Warns of FATCA Phishing ScamsScam artists posing as the IRS have fraudulently solicited account holder identity and financial account information.
September 24, 2014
SEC Probes PIMCO Total Return ETF; Firm Says It's CooperatingWe believe our pricing procedures are entirely appropriate and in keeping with industry best practices, a firm spokesman said.