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 finally answers after-tax IRA rollover question
By Melanie WaddellCan after-tax money in 401(k)s be converted to a Roth IRA tax-free?
September 18, 2014
Insider Trader Mostly Unfazed by Co-Worker's Insider Trading ArrestWe present for your reading pleasure: the worst way to insider trade.
September 18, 2014
'Non-PPACA' benefits regs head for impact reviewThe final rule could affect everything from EAPs to travel insurance.
September 17, 2014
SEC Hits New York HFT Firm With Biggest-Ever Net Capital FineThe SEC has fined a high-frequency trading firm $16 million, the largest penalty ever for a net capital violation.
September 16, 2014
SEC Cracks Down on 19 Firms, 1 Trader for Short Selling Prior to Stock OfferingsAn SEC dragnet of short sellers has hauled in 19 firms and one trader, costing the violators $9 million in disgorgement, interest and penalties.
September 16, 2014
IRS verdict is in, buyer jury out on QLACsThe Internal Revenue Service have taken a needed step toward making delayed or longevity annuities a viable option for retirement savers.
September 16, 2014
IRS verdict is in, buyer jury out on QLACsThe Internal Revenue Service have taken a needed step toward making delayed or longevity annuities a viable option for retirement savers.