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.
Wells Fargo Fined $5M Over Advisor’s Insider Trading, Altered Document
By Janet LevauxSEC says Wells Fargo Advisors was slow to release required compliance documents and "altered" one related to sales of Burger King stock.
September 22, 2014
How to avoid the IRS by planning ahead for tax-free inherited IRA rolloversClients who perform simple advance planning with an advisor can prevent a costly and uncertain lawsuit.
September 22, 2014
FINRA’s Big-Brokerage Loyalty Revealed in New Bonus Plan: LawyerThe proposal, which curtails mandatory disclosures, should "leave no doubt" where FINRAs loyalties lie, lawyer Patrick Burns says; recruiter Jon Henschen argues disclosure is pointless.
September 19, 2014
Top 6 most common breach scenarios to avoidCertain trigger events, outlined below, are responsible for a large percentage of data breaches.
September 19, 2014
IRS explains PPACA for plain folksThe agency has also released three PPACA interpretation notices.
September 19, 2014
IRS explains PPACA for plain folksThe agency has also released three PPACA interpretation notices.
September 19, 2014
Brooklyn Man Passed Illicit Stock Tips on Napkins: SECThe SEC charged a Brooklyn man with passing tips at Grand Central Terminal as the middleman in a $5.6 million insider trading scheme.
September 19, 2014
IRS finally answers after-tax IRA rollover questionCan after-tax money in 401(k)s be converted to a Roth IRA tax-free?