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.
SEC Pushes to Test Effectiveness of Investor Disclosures
By Melanie WaddellWe should formulate a plan to incorporate thorough investor testing into as many of our projects as possible, SEC Commissioner Kara Stein said.
December 02, 2014
3 things you CAN'T know about IRS PPACA problemsA watchdog agency has blacked out long sections of a data security testing report.
December 02, 2014
GOP Blasts User Fees Plan, Tells SEC to Boost Exams NowReps. Hensarling and Garrett give SEC Chairwoman White a Dec. 5 deadline to detail how agency will reallocate resources.
December 02, 2014
DIAs & QLACs: What the new Treasury regulations mean for advisorsFind out what the new regulations on the use of deferred income annuities in IRAs and qualified plans will mean for advisors and their clients.
December 02, 2014
DIAs & QLACs: What the new Treasury regulations mean for advisorsFind out what the new regulations on the use of deferred income annuities in IRAs and qualified plans will mean for advisors and their clients.
November 26, 2014
DOL Fiduciary Redraft Still Coming in January: OMBAn update from the OMB shows the DOL still plans a January release, despite speculation to the contrary.
November 26, 2014
Merrill Grabs 6 Reps From Morgan Stanley, OthersThe recruited reps have about $710 million in assets and $5 million in production.
November 26, 2014
SEC Enforcement: HSBC to Pay $12M Over Cross-Border BreachesMeanwhile, a CEO and the manager of a restaurant he frequented were fined for insider trading.