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.
A word of caution as open enrollment approaches
By Richard B. AlmanPeople who plan to shop HealthCare.gov should understand the rules or risk facing serious consequences down the road.
September 23, 2014
SEC plans to hand out whopping $30 million whistleblower awardThe SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
September 23, 2014
SEC plans to hand out whopping $30 million whistleblower awardThe SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
September 23, 2014
Helping Clients Avoid the IRS on Tax-Free Inherited IRA RolloversIRS blessed tax-free rollovers for two spouses inheriting IRAs that didn't name them as beneficiaries, but they could have done the same with proper planning.
September 23, 2014
SEC Announces 3 Senior-Level AppointmentsSEC announced this week a new administrative law judge and two other personnel moves.
September 23, 2014
SEC Fines Barclays $15M Over Lehman Acquisition FailuresBarclays failed to establish a critical compliance foundation when it acquired Lehmans advisory business, the regulator says.
September 22, 2014
Treasury, IRS Issue New Guidance to Curb Corporate Tax InversionsThe Treasury Department and IRS issued guidance late Monday to reduce the tax benefits of corporate inversions.
September 22, 2014
5 ways regulation is affecting the annuity industryFrom financial planners to annuity producers, everyone has felt the effects of regulatory restraint on both the local and national level.