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.
The SEC and E-Signatures
By Thomas D. GiachettiOver 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
IRS Blesses 401(k) Rollovers With Pre-, After-Tax ContributionsNew 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 29, 2014
SEC busts 4 insurance agents in scam against seniorsThe scheme targeted retired annuity holders by using insurance agents to sell interests in a company called Arete LLC.
September 26, 2014
New rule to help self-insured dental, hurt voluntary EAPsFederal regulators will issue limited wraparound regulations later.
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.