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.
IRS Tweaks Offshore Account Rules to Prod Tax Cheats to Pay Up
By Emily ZulzIRS expands its program to encourage the millions of Americans who have cheated on their taxes with offshore accounts to come forward.
June 16, 2014
DOL Fiduciary Rule in 2016?It may be 2016 before a new rule is in effect, and even thats a long shot, says Groom Law Group's Steve Saxon.
June 16, 2014
High Court backs anti-PPACA group in First Amendment caseAn Ohio law classifies making some false statements during a political campaign as a criminal offense.
June 16, 2014
SEC Fines Paradigm Capital in First Whistleblower Retaliation CaseThe SEC charged hedge fund advisory firm Paradigm with making prohibited principal transactions and then retaliating against the trader who reported them.
June 16, 2014
House Appropriations to Hold Wednesday Vote on SEC BudgetSEC Chairwoman White told lawmakers Obama's $1.7 billion budget would permit the SEC to increase advisor exams.
June 16, 2014
FINRA Wallops Merrill: $8M Fine, $24M in Restitution for Overbilling Charities, Small BusinessesMerrill sold the retirement plans more costly mutual fund share classes and failed to waive sales fees, FINRA said.
June 13, 2014
Insurers wait for PPACA comp cap regulationsOne lawyer has written that there's no obvious way to get around the $500,000 deductibility limit.
June 13, 2014
Insurers wait for PPACA comp cap regulationsOne lawyer has written that there's no obvious way to get around the $500,000 deductibility limit.