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.
'Non-PPACA' benefits regs head for impact review
By Allison BellThe final rule could affect everything from EAPs to travel insurance.
September 16, 2014
IRS verdict is in, buyer jury out on QLACsThe Internal Revenue Service have taken a needed step toward making delayed or longevity annuities a viable option for retirement savers.
September 16, 2014
IRS verdict is in, buyer jury out on QLACsThe Internal Revenue Service have taken a needed step toward making delayed or longevity annuities a viable option for retirement savers.
September 15, 2014
IRS to health insurers: Who's your mommy?The agency would use the parent entity information in health insurer executive pay audits.
September 12, 2014
FINRA Mulls Revised Broker Bonus PlanFINRA plans to consider a revised recruitment practices proposal that looks to omit the controversial retention deal aspect of the original plan.
September 12, 2014
SEC Creates New Office of Risk AssessmentSEC created new Office of Risk Assessment to help provide data-driven risk assessment tools and models to support a wide range of SEC activities.